Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Falls is a financial advisor registered with LPL Financial LLC. Brian has been in the financial services industry since February 14, 1992. Brian is registered to provide investment advice in 53 states and the District of Columbia. Brian is also registered with FINRA and the SEC. Brian's previous employers include Ameriprise Financial Services, Inc., Southwest Securities, Inc., May Financial Corporation, Capital Institutional Services, Inc., Wells Fargo Investments, LLC, Wells Fargo Brokerage Services, L.L.C., Forum Financial Services, Inc., Charles Schwab & Co., Inc., Prudential Securities Incorporated, and Rauscher Pierce Refsnes, Inc. Brian specializes in providing financial advice to individuals, high-net-worth individuals, corporations, businesses, and charitable organizations. Brian is committed to providing clients with personalized financial advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
AZ
08/12/2015 - Present
LPL Financial LLC (SCOTTSDALE AZ)
MN
08/05/2010 - 08/03/2015
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
TX
01/13/2003 - 05/21/2008
SOUTHWEST SECURITIES, INC. (DALLAS TX)
TX
05/27/2003 - 05/04/2004
MAY FINANCIAL CORPORATION (DALLAS TX)
TX
01/03/2001 - 09/26/2002
CAPITAL INSTITUTIONAL SERVICES, INC. (DALLAS TX)
CA
12/13/2000 - 01/08/2002
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MN
05/07/1999 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
ME
08/27/1998 - 05/26/1999
FORUM FINANCIAL SERVICES, INC. (PORTLAND ME)
TX
12/06/1993 - 07/08/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
12/24/1992 - 11/16/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
TX
04/09/1991 - 12/02/1992
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
03/21/1989 - 02/14/1991
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
BOTH
Issued 07/09/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/18/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/23/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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