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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 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 | 05/2011 | 05/2019 |
| Independent Advisor Alliance, Llc | Canton | OH | 05/2019 | Present |
1. 6/6/2019 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/17/2019 - 160 Hours Per Month/80 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 6/6/2019. 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. 4/12/2021 - UpFinancial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 4/29/2021 - 160 Hours Per Month/160 Hours During Securities Trading. 3. 5/7/2021 - RMBMiller Inc - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - President/Owner - Started 05/07/2021 - 0 Hours Per Month. 4. 8/4/2021 - Independent Advisor Alliance - DBA: (Hybrid) UpFinancial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 07/01/2021 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 8/2021. 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. 5. 06/22/2023 - Glenmoor Country Club - Not Investment Related - 4065 Brunnerdale Ave. NW, Canton, OH - For-Profit Board Member - Start Date 06/02/2023 - 1 Hour Per Month/ 0 Hours During Securities Trading 6. 06/22/2023 - Sage Insurance Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 06/16/2023 - 4 Hours Per Month/ 4 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-27 |
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