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Brian John Falls

LPl Financial LLC

Tempe, AZ

Scottsdale, AZ

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2015-09-08
NC RA APPROVED 2015-08-12
  • AZ RA
    APPROVED
    Since 2015-09-08
  • NC RA
    APPROVED
    Since 2015-08-12

Branch Locations

500 E. Rio Salado Pkwy Building 4, Floor 3, Tempe, AZ 85281 • United States

Scottsdale, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financiall, Llc San Diego CA 07/2015 Present
  • 07/2015 → Present
    Lpl Financiall, Llc
    San Diego, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-07-09
S63 Uniform Securities Agent State Law Examination 1991-04-18
  • S66 Uniform Combined State Law Examination
    2012-07-09
  • S63 Uniform Securities Agent State Law Examination
    1991-04-18

View on SEC IAPD

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