Alexander J. Falloon
Professional summary
Alexander Joseph Falloon, CFP®, who also goes by Alex J Falloon, Alexander J Falloon, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Parker, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Alexander has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Joseph Falloon's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2017
Experience
July 10, 2019 - Present
EMPOWER ADVISORY GROUP, LLC
July 10, 2019 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E. Orchard Rd, Greenwood Village, CO 80111April 11, 2016 - June 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
April 11, 2016 - June 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
February 18, 2015 - April 12, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
January 6, 2015 - April 12, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
October 28, 2013 - January 5, 2015
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
