Chris Fallin
Analyst-Equity chez Independent Advisor Alliance LLC
Profil
Mr. Richard C.
Fallin is a Senior Compliance Analyst at Independent Advisor Alliance LLC.
He joined the firm as a Compliance and Portfolio Analyst in September 2016.
His primary responsibility is to provide compliance oversight under the direction of the CCO.
Additionally, he oversees the activities of compliance associates.
As a Portfolio Analyst, he is responsible for the management and trading of IAA’s in-sourced portfolio options.
He started his financial services career in 2006 at E*Trade as a Platinum Relationship Manager providing active trading assistance and education to high net worth, self-directed clients.
He gained years of valuable knowledge and experience at Bank of America and Wells Fargo Advisors respectively, providing client relationship services, asset allocation and investment advice to bank members including each firm’s mass affluent clients.
He earned a Bachelor of Science degree in Criminal Justice, with a minor in Psychology, from Appalachian State University in 1999.
Postes actifs de Chris Fallin
| Sociétés | Poste | Début |
|---|---|---|
Independent Advisor Alliance LLC
 Independent Advisor Alliance LLC Investment ManagersFinance Independent Advisor Alliance LLC (IAA) is an independent, SEC-registered investment advisor headquartered in Charlotte, North Carolina. The firm was founded by Robert (Bobby) Russo in 2013. IAA offers discretionary asset management services to individuals, small businesses, trusts, estates, high net-worth individuals, pooled investment vehicles, and charities. | Analyst-Equity | 01/09/2016 |
Anciens postes connus de Chris Fallin
| Sociétés | Poste | Fin |
|---|---|---|
Wells Fargo Clearing Services LLC
 Wells Fargo Clearing Services LLC Investment ManagersFinance Wells Fargo Clearing Services LLC (WFCS) is a SEC-registered investment advisor and wealth management firm headquartered in St. Louis, Missouri. The firm was founded 1852 and formerly known as Wells Fargo Advisors LLC. They are a subsidiary of Wachovia Securities Financial Holdings LLC, a non-bank indirect subsidiary of Wells Fargo & Co. (NYSE: WFC), a financial and bank holding company. Wells Fargo Advisors is a trade name used by Wells Fargo Advisors Financial Network LLC and Wells Fargo Clearing Services LLC. WFCS provides investment advisory services to individuals, pension or profit-sharing plans, trusts, estates or charitable organizations, corporations or other business entities, governmental entities and educational institutions, as well as banks or thrift institutions. They also act as portfolio manager for certain wrap fee advisory programs. | Corporate Officer/Principal | - |
E*TRADE Securities LLC
 E*TRADE Securities LLC Investment Banks/BrokersFinance Founded in 1996, E*TRADE Securities LLC is a broker/dealer headquartered in New York City. The firm is a subsidiary of E*TRADE Financial Corp. (NYSE: ET). The firm provides a full array of trading and execution services for their clients. They do not provide any internal research. The firm is a member of the NASD and the SIPC. | Corporate Officer/Principal | - |
Formation de Chris Fallin
| Appalachian State University | Undergraduate Degree |
Expériences
Fonctions occupées
Relations
Relations au 1er degré
Entreprises liées au 1er degré
Homme
Femme
Administrateurs
Exécutifs
Sociétés liées
| Entreprise privées | 3 |
|---|---|
E*TRADE Securities LLC
E*TRADE Securities LLC Investment Banks/BrokersFinance Founded in 1996, E*TRADE Securities LLC is a broker/dealer headquartered in New York City. The firm is a subsidiary of E*TRADE Financial Corp. (NYSE: ET). The firm provides a full array of trading and execution services for their clients. They do not provide any internal research. The firm is a member of the NASD and the SIPC. | Finance |
Wells Fargo Clearing Services LLC
Wells Fargo Clearing Services LLC Investment ManagersFinance Wells Fargo Clearing Services LLC (WFCS) is a SEC-registered investment advisor and wealth management firm headquartered in St. Louis, Missouri. The firm was founded 1852 and formerly known as Wells Fargo Advisors LLC. They are a subsidiary of Wachovia Securities Financial Holdings LLC, a non-bank indirect subsidiary of Wells Fargo & Co. (NYSE: WFC), a financial and bank holding company. Wells Fargo Advisors is a trade name used by Wells Fargo Advisors Financial Network LLC and Wells Fargo Clearing Services LLC. WFCS provides investment advisory services to individuals, pension or profit-sharing plans, trusts, estates or charitable organizations, corporations or other business entities, governmental entities and educational institutions, as well as banks or thrift institutions. They also act as portfolio manager for certain wrap fee advisory programs. | Finance |
Independent Advisor Alliance LLC
Independent Advisor Alliance LLC Investment ManagersFinance Independent Advisor Alliance LLC (IAA) is an independent, SEC-registered investment advisor headquartered in Charlotte, North Carolina. The firm was founded by Robert (Bobby) Russo in 2013. IAA offers discretionary asset management services to individuals, small businesses, trusts, estates, high net-worth individuals, pooled investment vehicles, and charities. | Finance |
