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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

FALCO FINANCIAL SERVICES, INC.

CRD 112538

SCOTTSBLUFF, NE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e4f9c039-6fcb-2a6b-4d5f-5540cf64a9bf

Data as of May 10, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to May 10, 2012
4 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $48.9MItem 5.F on the latest filing (2012-05-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $48.9M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 380
SEC number: 801-62722
CRD: 112538
Filings on the tape: 4
First filed: Mar 26, 2012
Latest filed: May 10, 2012
Organised: Corporation, Nebraska

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GARDNER, JAMES, RAY	Secretary	B	yes	01/2003	Mar 26, 2012	May 10, 2012
HILYARD, TROY, LEE	Treasurer	B	yes	01/2003	Mar 26, 2012	May 10, 2012
LOCKWOOD, FRED, ALLEN	President	C	yes	01/2003	Mar 26, 2012	May 10, 2012
BENEPE, MICHAEL, ANDREW	VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	Na	no	05/2006	Mar 26, 2012	May 10, 2012
LOCKWOOD, CAROL, M	VICE PRESIDENT	B	no	01/2003	Mar 26, 2012	May 10, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PURSHE KAPLAN STERLING INVESTMENTS	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
GRAND ISLAND	Ne	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	May 10, 2012	$48.9M	$48.9M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$48.9M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Owns (2)

← BENEPE, MICHAEL, ANDREWOwnerVICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← LOCKWOOD, CAROL, MOwnerVICE PRESIDENT, ownership code B, individual
Mar 26, 2012 to presentfactForm ADV

Controls (3)

← LOCKWOOD, FRED, ALLENOwnerPRESIDENT, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV
← GARDNER, JAMES, RAYOwnerSECRETARY, ownership code B, individual
Mar 26, 2012 to presentfactForm ADV
← HILYARD, TROY, LEEOwnerTREASURER, ownership code B, individual
Mar 26, 2012 to presentfactForm ADV

Registered with (7)

← JAMES RAY GARDNERAdvisorregistration: previous registration
Feb 6, 2001 to Nov 3, 2014factForm ADV
← TROY LEE HILYARDAdvisorregistration: previous registration
Jan 1, 2002 to Nov 3, 2014factForm ADV
← VINCENT TOMAS RYANAdvisorregistration: previous registration
Dec 21, 2007 to Feb 2, 2010factForm ADV
← WILLIAM CONWAY FRYEAdvisorregistration: previous registration
Jun 28, 2004 to Dec 20, 2006factForm ADV
← LAWRENCE RICHARD BUCHHOLZAdvisorregistration: previous registration
Jun 28, 2004 to Aug 31, 2006factForm ADV
← PATRICK STEPHENSON JOLLIFFEAdvisorregistration: previous registration
Apr 3, 2000 to May 12, 2006factForm ADV
← EDWARD THOMAS MOOREAdvisorregistration: previous registration
Jun 28, 2004 to Jul 1, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4f9c039-6fcb-2a6b-4d5f-5540cf64a9bf
First observed: Mar 26, 2012
Last observed: May 10, 2012 174 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FALCO FINANCIAL SERVICES, INC.

CRD 112538

SCOTTSBLUFF, NE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e4f9c039-6fcb-2a6b-4d5f-5540cf64a9bf

Data as of May 10, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:55 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GARDNER, JAMES, RAY

Secretary

yes

01/2003

Mar 26, 2012

May 10, 2012

HILYARD, TROY, LEE

Treasurer

yes

01/2003

Mar 26, 2012

May 10, 2012

LOCKWOOD, FRED, ALLEN

President

yes

01/2003

Mar 26, 2012

May 10, 2012

BENEPE, MICHAEL, ANDREW

VICE PRESIDENT & CHIEF COMPLIANCE OFFICER

05/2006

Mar 26, 2012

May 10, 2012

LOCKWOOD, CAROL, M

VICE PRESIDENT

01/2003

Mar 26, 2012

May 10, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PURSHE KAPLAN STERLING INVESTMENTS

n/a

City

State

Country

Employees

Also broker-dealer

GRAND ISLAND

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

May 10, 2012

$48.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$48.9M

n/a