JF
John T. Fallon
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CRD#: 1288226
JF
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Thomas Fallon was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 8/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES, & LONG TERM CARE; 2. NAME OF OTHER BUSINESS: EVERGREEN FIRE DISTRICT, INVESTMENT RELATED: NO, ADDRESS: 629 SHADOW LANE, KALISPELL MT 59901, NATURE OF BUSINESS: TRUST FOR FIRE DISTRICT, START DATE: 2007, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF TRADING HOURS PER WEEK: 2, POSITION/TITLE/RELATIONSHIP: TRUSTEE, BRIEF DESCRIPTION OF DUTIES: POLICY & DIRECTION OF THE DISTRICT; 3. NAME OF OTHER BUSINESS: SOCCER & HOCKEY REFEREE, INVESTMENT RELATED: NO, ADDRESS: 629 SHADOW LANE, KALISPELL MT 59901, NATURE OF BUSINESS: REFEREEE COMPETITIVE & RECREATIONAL SOCCER, START DATE: 2006, APX NUMBER OF HOURS PER WEEK: 7, APX NUMBER OF TRADING HOURS PER WEEK: 0, POSITION/TITLE/RELATIONSHIP: SOCCER REFEREE, 4. NAME OF OTHER BUSINESS: FLATHEAD COUNTY WATER & SEWER DISTRICT NO.1 - EVERGREEN, INVESTMENT RELATED: NO, ADDRESS: 629 SHADOW LANE, KALISPELL MT 59901, NATURE OF BUSINESS: SET COUNTY POLICY AND DIRECTION, START DATE: 1987, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF TRADING HOURS PER WEEK: 2, POSITION/TITLE/RELATIONSHIP: PRESIDENT, BRIEF DESCRIPTION OF DUTIES: LIASON BETWEEN GM & OTHER BOARDMEMBERS; 5. NAME OF OTHER BUSINESS: FLATHEAD HIGH SCHOOL DISTRICT, INVESTMENT RELATED: NO, ADDRESS: 629 SHADOW LANE, KALISPELL MT 59901, NATURE OF BUSINESS: SET SCHOOL POLICY AND DIRECTION, START DATE: 2011, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF TRADING HOURS PER WEEK: 2, POSITION/TITLE/RELATIONSHIP: PRESIDENT, BRIEF DESCRIPTION OF DUTIES: COLLECTIVE BARGAINING NEGOTIATIONS, EXPULSION HEARINGS, DISCIPLINE APPEALS; 6. NAME OF OTHER BUSINESS: PERSONAL ASSISTANT TO JOHN G. HARP, INVESTMENT RELATED: NO, ADDRESS: 629 SHADOW LANE, KALISPELL MT 59901, NATURE OF BUSINESS: PROPERTY MANAGEMENT, START DATE: 2002, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF TRADING HOURS PER WEEK: 2, POSITION/TITLE/RELATIONSHIP: ASSISTANT, BRIEF DESCRIPTION OF DUTIES: MANAGE RENTAL PROPERTIES; 7. NAME OF OTHER BUSINESS: WILDFIRE FIREFIGHTING, INVESTMENT RELATED: NO, ADDRESS: 629 SHADOW LANE, KALISPELL MT 59901, NATURE OF BUSINESS: FIRE FIGHTING, START DATE: 2015, APX NUMBER OF HOURS PER WEEK: 15, APX NUMBER OF TRADING HOURS PER WEEK: 15, POSITION/TITLE/RELATIONSHIP: FOREMAN, BRIEF DESCRIPTION OF DUTIES: FOREMAN OF HEAVY EQUIPMENT TASK FORCE, LIAISON BETWEEN AGENCIES; 8. NAME OF OTHER BUSINESS: WHITEFISH SPORTS FACILITY FOUNDATION (WSFF); STUMPTOWN ICE DEN; INVESTMENT RELATED: NO; ADDRESS: 715 WISCONSIN AVE, WHITEFISH, MT 59937; NATURE OF BUSINESS: ICE RINK; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OVERSEE PROGRAMMING/COORDINATION OF RENTAL ICE TIMES WITH ALL USER GROUPS;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 21, 2024 - November 4, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
KALISPELL, MT
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
KALISPELL, MT
Past
October 3, 2016 - November 4, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
KALISPELL, MT
Past
August 11, 2014 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
KALISPELL, MT
Past
December 19, 2002 - June 16, 2005
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
KALISPELL, MT
Past
April 23, 2002 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
KALISPELL, MT
Past
July 24, 1984 - April 30, 2002
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
