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Current Employers
Independent Advisor Alliance, Llc

11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2019-05-20
  • OH RA
    APPROVED
    Since 2019-05-20

Branch Locations

4505 Stephen Circle Nw 102B, Canton, OH 44718 • 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 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
Previous Registrations
  • 2011-05-17 → 2019-06-03
    Canton, OH
    Canton, OH
  • 2007-07-24 → 2011-05-20
    Kestra Investment Services, Llc
    Canton, OH
  • 2003-07-31 → 2007-08-03
    Ameriprise Advisor Services, Inc.
    Fairlawn, OH
    Mayfield, OH
    Fairlawn, OH
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-02
S63 Uniform Securities Agent State Law Examination 1997-08-27
  • S65 Uniform Investment Adviser Law Examination
    2001-03-02
  • S63 Uniform Securities Agent State Law Examination
    1997-08-27

View on SEC IAPD

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