Christopher Mallory
Christopher Mallory is a registered investment advisor at Ameriprise Financial Services, LLC, based in Prospect, KY, with 28 years of industry experience. Christopher operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
Prospect, KY
Get directionsHistory
Regulatory History (6)
Customer Dispute
November 2024Employment Separation After Allegations
February 2014Customer Dispute
October 2008Customer Dispute
October 2008Customer Dispute
March 2003Customer Dispute
February 2001Other Business Activities
Christopher serves as Treasurer on the Board of Directors for Mallory. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
UBS Financial Services INC.
UBS Financial Services INC.Broker
Edward JonesBroker
State Registrations25 states
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.