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RIA / WealthAdvisor31 years in industry

JAMES STUART FALCONE

Advisor at FULCRUM WEALTH ADVISORS, LLC

BELLEVUE, WA

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Search this name across graphsid dfx:ria:783f5d32-fea0-7f33-f233-da10709fcdab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: May 29, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FULCRUM WEALTH ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 26, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 26, 1994
First registration: May 29, 2001
Dual registered: no
Other names: JAMES S FALCONE
IAPD individual key: 2536341

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FULCRUM WEALTH ADVISORS, LLC	Independent wealth	Mar 27, 2014	n/a	yes	BELLEVUE, WA	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	Dec 31, 2025	no	BELLEVUE, WA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Sep 3, 2013	Jun 29, 2023	no	BELLEVUE, WA\|EL SEGUNDO, CA	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jun 8, 2009	Sep 6, 2013	no	BELLEVUE, WA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 29, 2001	Jun 26, 2009	no	Bellevue, WA\|BELLEVUE, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	n/a	Dec 31, 2025	n/a	n/a	Departure no registered destination	Departure
CETERA ADVISOR NETWORKS LLC	FULCRUM WEALTH ADVISORS, LLC	Jun 29, 2023	Mar 27, 2014	-3,381	Firm change after gap	Ibd to RIA
OPPENHEIMER & CO. INC.	CETERA ADVISOR NETWORKS LLC	Sep 6, 2013	Sep 3, 2013	-3	Firm change	Other
UBS FINANCIAL SERVICES INC.	OPPENHEIMER & CO. INC.	Jun 26, 2009	Jun 8, 2009	-18	Firm change	Other

Relationships

Registered with (5)

→ FULCRUM WEALTH ADVISORS, LLCRegistered adviserregistration: current employment
Mar 27, 2014 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 29, 2023 to Dec 31, 2025factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Sep 3, 2013 to Jun 29, 2023factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jun 8, 2009 to Sep 6, 2013factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 29, 2001 to Jun 26, 2009factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor departed, no destination yet
James Stuart Falcone no longer registered at Cetera Investment Advisers Llc; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Jun 29, 2023
Advisor changed firm
James Stuart Falcone left Cetera Advisor Networks Llc for Fulcrum Wealth Advisors, Llc (registered 2014-03-27)
Form ADVobserved 6 days ago