Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
James Daniel Falcon
JAMES D. FALCON
CRD#: 4354675
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 309 LONGWOOD DR S W
HUNTSVILLE, AL 35801
Registration History
1995200020052010201520202025IAEDWARD JONES (CRD# 250)2007 - Present (18 years)BEDWARD JONES (CRD# 250)2005 - Present (19 years)
Disclosure(s)
View By:
5/27/1992
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 9/19/2005
B
New Jersey 4/12/2024
IA
Alabama 2/8/2007
B
New Mexico 4/15/2024
B
Arizona 9/15/2022
B
New York 8/7/2018
B
California 4/5/2019
B
North Carolina 12/11/2015
B
Colorado 9/14/2023
B
Ohio 6/16/2023
B
Connecticut 3/10/2022
B
Oklahoma 8/27/2015
B
District of Columbia 1/7/2025
B
Oregon 6/24/2022
B
Florida 8/9/2006
B
Pennsylvania 11/13/2013
B
Georgia 5/1/2006
B
Rhode Island 3/24/2023
B
Illinois 3/20/2024
B
South Carolina 4/18/2013
B
Indiana 3/5/2024
B
South Dakota 6/12/2013
B
Kansas 9/7/2017
B
Tennessee 5/3/2006
B
Kentucky 8/8/2022
B
Texas 3/27/2009
B
Louisiana 10/26/2020
IA
Texas 1/17/2019
B
Maryland 1/27/2025
B
Utah 8/21/2015
B
Minnesota 10/14/2011
B
Vermont 4/12/2024
B
Mississippi 3/17/2009
B
Virginia 5/19/2006
B
Missouri 8/6/2013
B
Washington 3/18/2024
B
Montana 9/28/2021
B
West Virginia 4/22/2024
B
Nebraska 5/18/2015
B
Wisconsin 7/3/2018

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
309 LONGWOOD DR S W, HUNTSVILLE, AL 35801
Registered with this firm since 2/8/2007
B
EDWARD JONES (CRD#:250)
309 LONGWOOD DR S W, HUNTSVILLE, AL 35801
Registered with this firm since 9/13/2005
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.