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CFP
MF
CFP

Matthew Fallon

Ameriprise Financial Services, LLC
22 Years of Experience
White Plains, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Matthew Fallon is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in White Plains, NY, with 22 years of industry experience. Matthew 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

399 Knollwood Rd, Ste G10, White Plains, NY, 10603-1944

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History

Regulatory History (1)
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
December 2007
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Matthew is involved in independent insurance brokering and the New York State Small Business Health Plan Marketplace since 2013. He also serves in fiduciary capacities such as attorney-in-fact, trustee, conservator, guardian, executor, or personal representative.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
September 2019 - Present · 7 yrs 1 mo
Ameriprise Financial Services, LLC
March 2004 - Present · 22 yrs 7 mos
Ameriprise Financial Services, LLCBroker
March 2004 - Present · 22 yrs 7 mos
Previous Registrations
Ameriprise Financial Services, INC.
July 2007 - June 2010 · 2 yrs 11 mos
Ids Life Insurance CompanyBroker
March 2004 - July 2006 · 2 yrs 4 mos
State Registrations16 states
CACOCTDEFLMAMINCNJNYOHPASCTNVAWA
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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