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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2022-07-06 |
Branch Locations
1441 Main Street Suite 850, Columbia, SC 29201 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Columbia | SC | 03/2016 | 05/2022 |
| Lpl Financial Llc | Columbia | SC | 06/2022 | Present |
1)05/31/2022 - Way and Way - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 06/2022 2)08/03/2022 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin - 160 Hours Per Month - I provide administrative support to Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 6/28/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-22 |
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