Matthew C. Fallon

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CRD#: 4937237

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.

Matthew Craig Fallon, who also goes by Matt Fallon, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2005. Matthew had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matt Fallon

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

January 2, 2019 - September 1, 2021

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

November 15, 2017 - December 31, 2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

CRD#: 144464

DENVER, CO

Past

May 24, 2017 - November 10, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

DENVER, CO

Past

March 24, 2017 - November 10, 2017

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

March 24, 2017 - November 10, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

DENVER, CO

Past

March 24, 2017 - November 10, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

March 24, 2017 - November 10, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

June 15, 2015 - March 6, 2017

SYMETRA SECURITIES, INC.

CRD#: 739

BELLEVUE, WA

Past

May 23, 2008 - January 5, 2012

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

April 18, 2005 - April 9, 2008

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

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

IAR

Series 65

Date: 5/13/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/30/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/15/2015

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/9/2016

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Mailing Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone number

(303) 623-2577

Established

Colorado since 07/01/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Matthew C. Fallon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

NATIONAL PLANNING CORPORATION

SII INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

INVESTMENT CENTERS OF AMERICA, INC.

INVEST FINANCIAL CORPORATION

SYMETRA SECURITIES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

TRANSAMERICA CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2017

Series 63

Date: 12/16/2015

SIE

Date: 10/1/2018

Series 7

Date: 11/30/2017

Series 6

Date: 6/15/2015

Series 26

Date: 5/9/2016

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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