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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 | 2026-02-05 |
| GA | RA | APPROVED | 2022-08-04 |
| VA | RA | APPROVED | 2022-08-01 |
| MD | RA | APPROVED | 2017-06-14 |
| NC | RA | APPROVED | 2017-06-14 |
| TX | RA | APPROVED | 2017-06-14 |
Branch Locations
3130 Fairhill Dr. Suite 108, Raleigh, NC 27606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Raleigh | NC | 09/2005 | 06/2017 |
| Lpl Financial Llc | Raleigh | NC | 06/2017 | Present |
| Independent Advisor Alliance, Llc | Raleigh | NC | 06/2017 | Present |
1. 6/14/2017 - Lipson, Williams, Perry & Kaptanoglu, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 06/15/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 6/22/2017 - Independent Advisor Alliance - investment related - At reported business location(s) - Registered Investment Advisor Hybrid - start 06/15/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 6/22/17. I expect to spend approximately 160 hours/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. 3. 10/19/2018 - The Milner Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Managing Partner - Started 09/25/2018 - 4 Hours Per Month During Securities Trading. 4. 10/23/2019 - Socratic Better Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/2020 - 120 Hours Per Month/120 Hours During Securities Trading. 5. 01/23/2026 - Mattocks Legacy Event Center LLC - Business Owner - Owner/Organizer - Not Investment Related - Grantsboro, NC - Start Date 02/01/2026 - 5 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-06-27 |
| S65 | Uniform Investment Adviser Law Examination | 1997-06-26 |
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