RICHARD CHRISTOPHER FALLIN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 11525 N. Community House Road, Suite 575, Charlotte, NC, 28277.
RICHARD CHRISTOPHER FALLIN has worked at LPL FINANCIAL LLC since October 05, 2016
Disclosure History
RICHARD CHRISTOPHER FALLIN has 1 Disclosure Event(s).
Date: August 25, 2015 Category: Employment Separation After Allegations Firm Name: Wells Fargo Advisors, LLC. Termination Type: Discharged Allegations: Prepared financial tools for clients without speaking to clients about the financial tools. Broker Comment: No ethics were violated, and no clients were harmed as a result of these allegations. These were internal procedure violation allegations regarding the use of a specific financial tool the firm used. I was never properly trained on the specific procedures in question.
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