Chris Fallin

888.430.1555 x7005
  • Series 7 [held with LPL Financial]
  • Series 63 [held with LPL Financial]
  • Series 66 [held with Independent Advisor Alliance and LPL Financial]
  • Series 24 [held with LPL Financial]
  • Series 4 [held with LPL Financial]
Check the background of investment professionals associated with this site on
Compliance and Portfolio Analyst

Chris joined IAA as a Compliance and Portfolio Analyst in September 2016.  As an LPL Financial registered principal, his primary responsibility is to provide compliance oversight under the direction of the CCO.  Additionally, Chris oversees the activities of compliance associates.  As a Portfolio Analyst, Chris is responsible for the management and trading of IAA’s in-sourced portfolio options.

Chris 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.

Chris earned a Bachelor of Science degree in Criminal Justice, with a minor in Psychology, from Appalachian State University in 1999. Outside of work, he enjoys golf, softball and grilling.

A lifetime resident of North Carolina, Chris resides in Gastonia with his wife and their two daughters.

Integrity. Transparency. Choice.