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.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for RICHARD CHRISTOPHER FALLIN, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.