Seth Waller is a registered investment advisor at Falcon Financial, based in Salisbury, NC, with 16 years of industry experience. Seth operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 342 clients with $100M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.50% |
| $1.0M - $2.0M | 1.25% |
| $2M+ | 1.00% |
Fees are negotiable.
Fee Estimator
Location
200 Statesville Blvd, #1001, Salisbury, NC, 28144
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Seth sells fixed insurance products as an independent agent. He is also involved in several real estate and health/nutrition related LLCs, as well as a youth baseball organization, each taking minimal time.
Employment History
Current Registrations
Falcon Financial
Previous Registrations
Ameriprise Financial Services, INC.
Edward Jones
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.