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PF

Peter J. Fallon

SANTA BARBARA MANAGEMENT
CHICAGO, IL 60611
Some features on this profile are disabled
CRD#: 6502301
PF

Professional summary

Peter Julius Fallon JR., who also goes by Peter Julius Fallon, Peter Fallon, Pj Fallon, is a registered financial advisor currently at SANTA BARBARA MANAGEMENT located in Chicago, Illinois.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Peter has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Peter Julius Fallon | Peter Fallon | Pj 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) - RIA

Click below to view Peter Julius Fallon JR.'s CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 14, 2026 - Present

SANTA BARBARA MANAGEMENT

Office #1: 10 E. Ohio St. 2nd Floor, Chicago, IL 60611
RIA
CRD#: 334801
CHICAGO, IL
Past

March 12, 2018 - July 5, 2022

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA
CRD#: 108559
Boston, MA
Past

March 2, 2018 - July 5, 2022

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
BOSTON, MA
Past

April 10, 2017 - March 5, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
BOSTON, MA
Past

January 24, 2017 - March 5, 2018

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
BOSTON, MA

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".
SB
SANTA BARBARA MANAGEMENT
SANTA BARBARA MANAGEMENT | SANTA BARBARA MGMT, LLC

CRD#: 334801 / SEC#: 801-132201

RIA
Registered Investment Advisory firm - (3/17/2025 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Illinois
(1/14/2026)
IAR
New York
(1/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/10/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/24/2017
General Securities Representative Examination

Current Firm

SB
SANTA BARBARA MANAGEMENT
SANTA BARBARA MANAGEMENT | SANTA BARBARA MGMT, LLC

CRD#: 334801 / SEC#: 801-132201

RIA
Registered Investment Advisory firm - (3/17/2025 Approved)
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Contact information

Main Address
10 E. Ohio St. 2nd Floor, Chicago, IL 60611
Mailing Address
Phone number
(734) 604-9891
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SBM ADV PART 2A (9/15/2025)

Regulatory assets under management

Total Number of Accounts154
AUM (Assets Under Management)$ 259,160,014

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.

Company Information

SANTA BARBARA MANAGEMENT

CRD#: 334801Chicago, IL 60611

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