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Christopher Mallory

Ameriprise Financial Services, LLC
29 Years of Experience
Louisville, KY
6 DisclosuresBroker
View SEC Summary
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Christopher Mallory is a registered investment advisor at Ameriprise Financial Services, LLC, based in Louisville, KY, with 29 years of industry experience. Christopher is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

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

Location

805 N Whittington Pkwy Ste 100, Louisville, KY, 40222

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History

Regulatory History (6)
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.
Customer Dispute
November 2024
Denied
Employment Separation After Allegations
February 2014
Customer Dispute
October 2008
Denied
Customer Dispute
October 2008
Denied
Customer Dispute
March 2003
Denied
Customer Dispute
February 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other 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
February 2014 - Present · 12 yrs 8 mos
Ameriprise Financial Services, LLCBroker
February 2014 - Present · 12 yrs 8 mos
Ameriprise Financial Services, LLC
February 2014 - Present · 12 yrs 8 mos
Previous Registrations
Wells Fargo Advisors, LLCBroker
April 2010 - February 2014 · 3 yrs 10 mos
Wells Fargo Advisors, LLC
April 2010 - February 2014 · 3 yrs 10 mos
UBS Financial Services INC.
May 2005 - April 2010 · 4 yrs 11 mos
UBS Financial Services INC.Broker
October 2004 - April 2010 · 5 yrs 6 mos
Edward JonesBroker
July 1997 - October 2004 · 7 yrs 3 mos
State Registrations26 states
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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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