RF
Richard C. Fallin
INDEPENDENT ADVISOR ALLIANCE
Charlotte, NC 28277
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CRD#: 5120772
RF
Professional summary
Richard Christopher Fallin, who also goes by Chris Fallin, is a registered financial advisor currently at INDEPENDENT ADVISOR ALLIANCE, LLC located in Charlotte, North Carolina and LPL FINANCIAL LLC located in Charlotte, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Fallin
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.
(1) 10/04/2016: Independent Advisor Alliance - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 9/26/2016 - 160 Hr/Mo; 40 Hour(s) During Securities Trading; 100% Time Spent
(2) 11/02/2016: Independent Advisor Alliance - Registered Investment Advisor Hybrid - DBA: (Hybrid) Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Start 09/26/2016 - 160 Hr/Mo; 40 Hour(s) During Securities Trading; 100% Time Spent - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 9/2/16. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Christopher Fallin's 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®
NoneExperience
Current
October 7, 2016 - Present
INDEPENDENT ADVISOR ALLIANCE, LLC
Office #1: 11215 N. Community House Road Suite 775, Charlotte, NC 28277RIA
CRD#: 168267
Charlotte, NC
Current
October 5, 2016 - Present
LPL FINANCIAL LLC
Office #1: 11215 N Community House Road Suite 775, Charlotte, NC 28277RIA
BD
CRD#: 6413
CHARLOTTE, NC
Past
June 22, 2016 - September 22, 2016
ALIGHT FINANCIAL SOLUTIONS, LLC
BD
CRD#: 36509
CHARLOTTE, NC
Past
August 4, 2010 - September 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
April 9, 2009 - September 22, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
August 22, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHARLOTTE, NC
Past
July 10, 2006 - July 10, 2008
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CHARLOTTE, NC
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".
IA
INDEPENDENT ADVISOR ALLIANCE, LLC
AFTON WEALTH MANAGEMENT | STOCKBRIDGE WEALTH ADVISORS | STILLWATER FINANCIAL ADVISORS | STEWARD GUIDE WEALTH PARTNERS | STEPHS TWO CENTS | SPARK | SOUTHERN WEALTH ADVISORS | SOLIDA FINANCIAL | SOCRATIC BETTER WEALTH | SIXTH MAN SPORTS MANAGEMENT | SIX PILLARS FINANCIAL ADVISORS | SISLO WEALTH MANAGEMENT | SILVERROCK WEALTH MANAGEMENT | SILVER KEY WEALTH MANAGEMENT | SECOND HALF STRATEGIES | SEACOAST WEALTH MANAGEMENT | SCHMIDT FINANCIAL RESOURCES | SAGE FINANCIAL SYSTEMS | RUTLEDGE FINANCIAL PARTNERS | ROLLER WEALTH MANAGEMENT | RJ WEALTH MANAGEMENT | RIGHTIREMENT WEALTH PARTNERS | REVANT WEALTH | RETIREMENT PATH FINANCIAL | REBER INVESTMENTS | R.J. SCHRIFT PRIVATE ASSET MANAGEMENT | R.F. TOLBERT WEALTH MANAGEMENT | R.F. TOLBERT FINANCIAL GROUP | PROVENCE WEALTH MANAGEMENT GROUP | PROSPERITY WEALTH ADVISORS | PRECISION POINT WEALTH MANAGEMENT | PARADIGM WEALTH PARTNERS | PALMETTO INVESTMENT CONSULTANTS | ORINOCO CAPITAL ADVISORS | ONE TREE HILL INVESTMENT ADVISORS | NORTON FINANICAL | NORTH POINT FINANCIAL PLANNERS | NEWPORT FINANCIAL PLANNING | NEW MARKET FINANCIAL ADVISORS | MOORE & BURKHARDT WEALTH MANAGEMENT | MONEYDOVE | MOHLMAN WEALTH MANAGEMENT | MIDTOWN ADVISORS | MFP FINANCIAL SERVICES | METCAP WEALTH MANAGEMENT | METCAP | METCALF CAPITAL WEALTH MANAGEMENT | MCQUILLING FINANCIAL SERVICES, LLC | MAYNARD & ASSOCIATES WEALTH MANAGEMENT | MATT MIKOLAJEWSKI WEALTH MANAGEMENT | MATT JELNICKY, CFP | MARZANO CAPITAL GROUP | MARLINE & ASSOCIATES WEALTH MANAGEMENT | MARKEY WEALTH MANAGEMENT | M&F WEALTH MANAGEMENT | LORD WEALTH MANAGEMENT | LIVSWELL | LIBERTY POINT ADVISORS | LIBERAL INVESTING | LEGACY WEALTH MANAGEMENT | LAURIE SCHAEFFER, CRPC ® | KORNERSTONE WEALTH MANAGEMENT | KNOW MY PLAN | KNIGHT FINANCIAL PLANNING SERVICES | KING WEALTH PARTNERS | K.A. GREGORY WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JN WEALTH STRATEGIES | JEFFERY W. MASTERS & ASSOCIATES | JACKSON FINANCIAL GROUP | INVESTRA FINANCIAL SERVICES | INVESTRA | INTERGROWH FINANCIAL GROUP | INDEPENDENT ADVISOR ALLIANCE, LLC | HUTCHISON WEALTH MANAGEMENT GROUP | HOLLOWELL FINANCIAL GROUP | HMC PARTNERS | HENSLEY RETIREMENT PLANNING | HENDERSON WEALTH MANAGEMENT | HARWOOD WEALTH MANAGEMENT | HARVEY WEALTH MANAGEMENT | HARVEST WEALTH MANAGEMENT | HAGEN WEALTH MANAGEMENT | H. DEWEY THOMPSON FINANCIAL SERVICE | GRACE FINANCIAL SERVICES | GENWEALTH FINANCIAL ADVISORS | GENESIS FINANCIAL PARTNERS | GASKINS GIBSON CAPITAL | FREEMAN FINANCIAL | FREEDOM WEALTH PARTNERS | FOUNDERS PRIVATE WEALTH | FORWARD FINANCIAL GROUP | FOCUS WEALTH PLANNING | FIVESTONE FINANCIAL | FIT FINANCIAL WEALTH MANAGEMENT | FIRST COMMUNITY FINANCIAL CONSULTANTS | FAMILY WEALTH PARTNERS | FAIRVIEW STRATEGIC PLANNERS | EDMONDSON CAPITAL AND FINANCIAL PLANNING | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DU LAC WEALTH SERVICES | DOLF DUNN WEALTH MANAGEMENT | DISTINCTIVE WEALTH MANAGEMENT | DILL FINANCIAL SERVICES | DESIGNING WEALTH | DECKERT FINANCIAL | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DARPEL & HOWARD WEALTH ADVISORS | CYPRESS CAPITAL | CWL WEALTH MANAGEMENT | CURRY, MOORE & ASSOCIATES WEALTH ADVISORS | CT FINANCIAL | CROSSROADS FINANCIAL GROUP | CROSSOVER POINT ADVISORS | CRITICAL TRANSITIONS WEALTH ADVISORS | CRESCENT FINANCIAL GROUP | CREDO FINANCIAL ADVISORS | COUNCIL FAMILY OFFICE | CONNECTED WEALTH MANAGEMENT | COMPREHENSIVE PLANNING | COMPASS INVESTMENT ADVISORS, LLC | COJO BAY ADVISORS | COASTAL FINANCIAL PLANNING GROUP | CMPD12 CAPITAL | CLARIDENCE WEALTH | CHARLOTTE WEALTH ADVISORS | CHAMPION WEALTH MANAGEMENT | CFG | CERMAK-SERFASS WEALTH MANAGEMENT | CAUBLE SCHRIFT PRIVATE ASSET MANAGEMENT | CAUBLE SCHRIFT | CASTLE WEALTH PARTNERS | BUDD WEALTH MANAGEMENT | BRYANT & BOLICK FINANCIAL SERVICES | BOAN FINANCIAL GROUP | BLUEWATER FINANCIAL SERVICES | BLUEROCK INVESTMENT SERVICES | BLACKBRIDGE FINANCIAL | BEACON CAPITAL ADVISORY GROUP | BASS FINANCIAL MANAGEMENT | BARNES CAPITAL GROUP | BARNES BENEFIT CONSULTANTS | BALANCE WEALTH PARTNERS | AUDET WEALTH ADVISORS | ATLANTIC COAST WEALTH MANAGEMENT | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARMFIELD WEALTH | ALTITUDE WEALTH MANAGEMENT | ALASKA FINANCIAL ASSOCIATES...
CRD#: 168267 / SEC#: 801-78808
RIA
Registered Investment Advisory firm - (11/26/2013 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/5/2016)
RR
Alaska(10/20/2016)
RR
Arizona(10/5/2016)
RR
Arkansas(10/5/2016)
RR
California(10/5/2016)
RR
Colorado(2/22/2017)
RR
Connecticut(10/5/2016)
RR
Delaware(10/26/2016)
RR
District of Columbia(10/5/2016)
RR
Florida(10/5/2016)
RR
Georgia(10/5/2016)
RR
Hawaii(10/24/2016)
RR
Idaho(8/25/2023)
RR
Illinois(1/17/2017)
RR
Indiana(10/5/2016)
RR
Iowa(10/5/2016)
RR
Kansas(10/5/2016)
RR
Kentucky(10/5/2016)
RR
Louisiana(10/5/2016)
RR
Maine(1/27/2017)
RR
Maryland(11/22/2016)
RR
Massachusetts(3/21/2017)
RR
Michigan(10/5/2016)
RR
Minnesota(10/26/2016)
RR
Mississippi(10/28/2016)
RR
Missouri(10/20/2016)
RR
Montana(10/5/2016)
RR
Nebraska(6/2/2017)
RR
Nevada(10/5/2016)
RR
New Hampshire(10/26/2016)
RR
New Jersey(10/5/2016)
RR
New Mexico(10/5/2016)
RR
New York(10/5/2016)
RR
North Carolina(10/5/2016)
IAR
North Carolina(10/7/2016)
RR
North Dakota(9/5/2017)
RR
Ohio(10/5/2016)
RR
Oklahoma(10/5/2016)
RR
Oregon(10/5/2016)
RR
Pennsylvania(10/5/2016)
RR
Puerto Rico(10/5/2016)
RR
Rhode Island(10/5/2016)
RR
South Carolina(10/5/2016)
RR
South Dakota(12/18/2017)
RR
Tennessee(5/12/2020)
RR
Texas(11/4/2016)
RR
Utah(10/5/2016)
RR
Vermont(10/5/2016)
RR
Virginia(10/5/2016)
RR
Washington(10/5/2016)
RR
West Virginia(5/12/2017)
RR
Wisconsin(10/5/2016)
RR
Wyoming(10/5/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INDEPENDENT ADVISOR ALLIANCE, LLC
AFTON WEALTH MANAGEMENT | STOCKBRIDGE WEALTH ADVISORS | STILLWATER FINANCIAL ADVISORS | STEWARD GUIDE WEALTH PARTNERS | STEPHS TWO CENTS | SPARK | SOUTHERN WEALTH ADVISORS | SOLIDA FINANCIAL | SOCRATIC BETTER WEALTH | SIXTH MAN SPORTS MANAGEMENT | SIX PILLARS FINANCIAL ADVISORS | SISLO WEALTH MANAGEMENT | SILVERROCK WEALTH MANAGEMENT | SILVER KEY WEALTH MANAGEMENT | SECOND HALF STRATEGIES | SEACOAST WEALTH MANAGEMENT | SCHMIDT FINANCIAL RESOURCES | SAGE FINANCIAL SYSTEMS | RUTLEDGE FINANCIAL PARTNERS | ROLLER WEALTH MANAGEMENT | RJ WEALTH MANAGEMENT | RIGHTIREMENT WEALTH PARTNERS | REVANT WEALTH | RETIREMENT PATH FINANCIAL | REBER INVESTMENTS | R.J. SCHRIFT PRIVATE ASSET MANAGEMENT | R.F. TOLBERT WEALTH MANAGEMENT | R.F. TOLBERT FINANCIAL GROUP | PROVENCE WEALTH MANAGEMENT GROUP | PROSPERITY WEALTH ADVISORS | PRECISION POINT WEALTH MANAGEMENT | PARADIGM WEALTH PARTNERS | PALMETTO INVESTMENT CONSULTANTS | ORINOCO CAPITAL ADVISORS | ONE TREE HILL INVESTMENT ADVISORS | NORTON FINANICAL | NORTH POINT FINANCIAL PLANNERS | NEWPORT FINANCIAL PLANNING | NEW MARKET FINANCIAL ADVISORS | MOORE & BURKHARDT WEALTH MANAGEMENT | MONEYDOVE | MOHLMAN WEALTH MANAGEMENT | MIDTOWN ADVISORS | MFP FINANCIAL SERVICES | METCAP WEALTH MANAGEMENT | METCAP | METCALF CAPITAL WEALTH MANAGEMENT | MCQUILLING FINANCIAL SERVICES, LLC | MAYNARD & ASSOCIATES WEALTH MANAGEMENT | MATT MIKOLAJEWSKI WEALTH MANAGEMENT | MATT JELNICKY, CFP | MARZANO CAPITAL GROUP | MARLINE & ASSOCIATES WEALTH MANAGEMENT | MARKEY WEALTH MANAGEMENT | M&F WEALTH MANAGEMENT | LORD WEALTH MANAGEMENT | LIVSWELL | LIBERTY POINT ADVISORS | LIBERAL INVESTING | LEGACY WEALTH MANAGEMENT | LAURIE SCHAEFFER, CRPC ® | KORNERSTONE WEALTH MANAGEMENT | KNOW MY PLAN | KNIGHT FINANCIAL PLANNING SERVICES | KING WEALTH PARTNERS | K.A. GREGORY WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JN WEALTH STRATEGIES | JEFFERY W. MASTERS & ASSOCIATES | JACKSON FINANCIAL GROUP | INVESTRA FINANCIAL SERVICES | INVESTRA | INTERGROWH FINANCIAL GROUP | INDEPENDENT ADVISOR ALLIANCE, LLC | HUTCHISON WEALTH MANAGEMENT GROUP | HOLLOWELL FINANCIAL GROUP | HMC PARTNERS | HENSLEY RETIREMENT PLANNING | HENDERSON WEALTH MANAGEMENT | HARWOOD WEALTH MANAGEMENT | HARVEY WEALTH MANAGEMENT | HARVEST WEALTH MANAGEMENT | HAGEN WEALTH MANAGEMENT | H. DEWEY THOMPSON FINANCIAL SERVICE | GRACE FINANCIAL SERVICES | GENWEALTH FINANCIAL ADVISORS | GENESIS FINANCIAL PARTNERS | GASKINS GIBSON CAPITAL | FREEMAN FINANCIAL | FREEDOM WEALTH PARTNERS | FOUNDERS PRIVATE WEALTH | FORWARD FINANCIAL GROUP | FOCUS WEALTH PLANNING | FIVESTONE FINANCIAL | FIT FINANCIAL WEALTH MANAGEMENT | FIRST COMMUNITY FINANCIAL CONSULTANTS | FAMILY WEALTH PARTNERS | FAIRVIEW STRATEGIC PLANNERS | EDMONDSON CAPITAL AND FINANCIAL PLANNING | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DU LAC WEALTH SERVICES | DOLF DUNN WEALTH MANAGEMENT | DISTINCTIVE WEALTH MANAGEMENT | DILL FINANCIAL SERVICES | DESIGNING WEALTH | DECKERT FINANCIAL | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DARPEL & HOWARD WEALTH ADVISORS | CYPRESS CAPITAL | CWL WEALTH MANAGEMENT | CURRY, MOORE & ASSOCIATES WEALTH ADVISORS | CT FINANCIAL | CROSSROADS FINANCIAL GROUP | CROSSOVER POINT ADVISORS | CRITICAL TRANSITIONS WEALTH ADVISORS | CRESCENT FINANCIAL GROUP | CREDO FINANCIAL ADVISORS | COUNCIL FAMILY OFFICE | CONNECTED WEALTH MANAGEMENT | COMPREHENSIVE PLANNING | COMPASS INVESTMENT ADVISORS, LLC | COJO BAY ADVISORS | COASTAL FINANCIAL PLANNING GROUP | CMPD12 CAPITAL | CLARIDENCE WEALTH | CHARLOTTE WEALTH ADVISORS | CHAMPION WEALTH MANAGEMENT | CFG | CERMAK-SERFASS WEALTH MANAGEMENT | CAUBLE SCHRIFT PRIVATE ASSET MANAGEMENT | CAUBLE SCHRIFT | CASTLE WEALTH PARTNERS | BUDD WEALTH MANAGEMENT | BRYANT & BOLICK FINANCIAL SERVICES | BOAN FINANCIAL GROUP | BLUEWATER FINANCIAL SERVICES | BLUEROCK INVESTMENT SERVICES | BLACKBRIDGE FINANCIAL | BEACON CAPITAL ADVISORY GROUP | BASS FINANCIAL MANAGEMENT | BARNES CAPITAL GROUP | BARNES BENEFIT CONSULTANTS | BALANCE WEALTH PARTNERS | AUDET WEALTH ADVISORS | ATLANTIC COAST WEALTH MANAGEMENT | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARMFIELD WEALTH | ALTITUDE WEALTH MANAGEMENT | ALASKA FINANCIAL ASSOCIATES...
CRD#: 168267 / SEC#: 801-78808
RIA
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Contact information
Main Address
11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277
Mailing Address
Phone number
(888) 430-1555
Established
Firm type
Fiscal year end
# of Employees
283
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54,861 |
| AUM (Assets Under Management) | $ 14,074,143,679 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INDEPENDENT ADVISOR ALLIANCE, LLC
CRD#: 168267Charlotte, NC 28277TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
