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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
NH RA APPROVED 2018-08-28
  • NH RA
    APPROVED
    Since 2018-08-28

Branch Locations

30 Temple Street Suite 501, Nashua, NH 03060 • 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 Nashua NH 11/2010 Present
Independent Advisor Alliance, Llc Nashua NH 08/2018 Present
Previous Registrations
Other Businesses

1. 11/30/2010 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 2% - Fixed insurance business. Life, LTC, fixed annuities. 2. 7/31/2018 - Independent Advisor Alliance - DBA: (Hybrid) Retirement Path Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity on 7/31/2018. 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. 3. 8/7/2018 - Retirement Path Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/31/2018 - 160 Hours Per Month During Securities Trading. 4) 01/31/2025 - Will Street LLC - Not Investment Related - Other - Co-managing family business -Nashua, NH - Start Date:01/29/2025 - 12 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-14
S63 Uniform Securities Agent State Law Examination 1997-08-22
  • S66 Uniform Combined State Law Examination
    2004-05-14
  • S63 Uniform Securities Agent State Law Examination
    1997-08-22

View on SEC IAPD

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