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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2019-05-20 |
Branch Locations
4505 Stephen Circle Nw Suite 102B, Canton, OH 44718 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Canton | OH | 04/2011 | Present |
| Independent Financial Partners | Canton | OH | 08/2012 | 05/2019 |
| Independent Advisor Alliance, Llc | Canton | OH | 05/2019 | Present |
1) 06/11/2019 - Independent Advisor Alliance - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:05/22/2019 - 160 Hrs/Mth - 80Hrs During Trading.I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 6/11/2019. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms 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. 2. 4/29/2021 - Independent Advisor Alliance - DBA: (Hybrid) UpFinancial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/03/2021 - 120 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Group, an independent investment advisor firm. I started this business activity in 4/2021. I expect to spend approximately 120 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. 3. 04/05/2022 - Sage Insurance Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 03/07/2022 - 4 Hours Per Month/ 0 Hours During Securities.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-18 |
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