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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Christopher Fallin is a financial advisor with Independent Advisor Alliance, LLC in Charlotte, North Carolina. Richard has been in the industry since June 22, 2007, and has experience with investment advisory services, financial planning, pension consulting, and portfolio management for individuals and businesses. Richard has a broad range of licenses and certifications, including Series 66, Series 63, Series 4, Series 24, Series 7, and the SIE exam.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NC
10/07/2016 - Present
Independent Advisor Alliance, LLC (Charlotte NC)
NC
06/22/2016 - 09/22/2016
HEWITT FINANCIAL SERVICES LLC (CHARLOTTE NC)
NC
04/09/2009 - 09/22/2015
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
NC
08/22/2008 - 03/18/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
07/10/2006 - 07/10/2008
E*TRADE SECURITIES LLC (CHARLOTTE NC)
BOTH
Issued 07/02/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/19/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/06/2007
Series 4 - Registered Options Principal Examination
BC
Issued 07/09/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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