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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2018-12-13 |
Branch Locations
630 Kenmoor Avenue Southeast Suite 202, Grand Rapids, MI 49546 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Grand Rapids | MI | 07/2011 | Present |
| Independent Financial Partners | Grand Rapids | MI | 08/2017 | 12/2018 |
| Independent Advisor Alliance | Charlotte | NC | 12/2018 | Present |
1. 07/11/11 - DAWES WEALTH MANAGEMENT/ DBA ONLY for LPL business/ GRAND RAPIDS, MI 2. 09/17/2015 - notary - not inv rel - 29 Pearl Street NW Suite: 105, Grand Rapids, MI 49506 - start 06/30/2015 - 1 hr/mo not during secs trdg hrs. 3. 2/20/2019 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 12/17/2018 - 20 Hours Per Month/20 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 2/20/2019. I expect to spend approximately 20 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-30 |
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