Robert Michael Di Falco

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2014-04-02
NJ	RA	APPROVED	2009-10-13

PA RA
APPROVED

Since 2014-04-02
NJ RA
APPROVED

Since 2009-10-13

Branch Locations

5 Caufield Place Suite 201, Newtown, PA 18940 • United States

Pennington, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Raymond James & Associates, Inc.	Newtown	PA	09/2009	Present

09/2009 → Present

Raymond James & Associates, Inc.

Newtown, PA

Previous Registrations

2002-06-12 → 2009-10-02

Ubs Financial Services Inc.

Princeton, NJ

Princeton, NJ

Other Businesses

(1)Name of Business: Pennington Borough Board of Fire Commissioners Address: 120 Broemel Placw , Pennington, NJ, 08534, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Advisory Board Investment Related: No Start Date: 12/20/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Responsible for providing fire protection and extinguishing fires withina map of the areas of primary coverage of Station 51, PenningtonVolunteer Fire Company.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-02-18
S63	Uniform Securities Agent State Law Examination	1985-02-01

S65 Uniform Investment Adviser Law Examination

1999-02-18
S63 Uniform Securities Agent State Law Examination

1985-02-01

Other Names

Robert Michael Difalco
Robert M Di Falco

View on SEC IAPD