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Jack Falzone

Esi Financial Advisors
6 Years of Experience
Hauppauge, NY
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Jack Falzone is a registered investment advisor at Esi Financial Advisors, based in Hauppauge, NY, with 6 years of industry experience. Jack is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 12,379 clients with $2.8B in assets under management.

Esi Financial Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
536 advisors
Number of Clients
12,379 clients
Average Client Portfolio
$224K average
Assets Under Management
$2.8B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $2.5M0.75%
$2.5M - $5.0M0.60%
$5.0M - $10.0M0.50%
$10M+0.35%

Rates reflect the primary schedule used in programs like American Funds and Schwab Retirement Advisor Services. Other programs have different maximum fees (AssetMark up to 1.50%, Saratoga up to 2.00%, SEI up to 1.75% plus 0.05% administrative fee). Actual fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

410 Motor Parkway, 2nd Floor, Hauppauge, NY, 11788

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
August 2025
Final
Regulatory
August 2024
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Jack markets his financial services and sells fixed insurance through TJ Financial Services and United Financial Alliance. He also assists with customer service for home and auto insurance policies at RLH Diamond Group and is a board member for the Kings Park Chamber of Commerce.

Employment History
Current Registrations
Esi Financial Advisors
June 2022 - Present · 4 yrs 4 mos
Equity Services, INC.Broker
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
J.P. Morgan Securities LLCBroker
February 2020 - March 2022 · 2 yrs 1 mo
State Registrations5 states
DCDENJNYVA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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