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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 | 2026-01-02 |
| PA | RA | APPROVED | 2026-01-02 |
| KY | RA | APPROVED | 2025-12-22 |
| MO | RA | APPROVED | 2025-12-22 |
| NC | RA | APPROVED | 2025-12-22 |
| TX | RA | APPROVED_RES | 2025-12-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc ( | Lexington | KY | 09/2022 | 11/2025 |
| J.P. Morgan Securities, Llc | Lexington | KY | 12/2012 | 09/2022 |
| Lpl Financial | Lexington | KY | 12/2025 | Present |
| Independent Advisor Alliance | Charlotte | NC | 12/2025 | Present |
1- 12/2025 / Ashwood Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 160 hrs during trading / At reported business location(s) 2- 12/2025 / Madera Capital / Business Entity For Tax/Investment Purposes Only / Investment Related / Start date: 02/06/2023 3- 01/05/2026 - Independent Advisor Alliance - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 12/12/2025 - 160 hours per month/ during trading - I provide investment advisory services through Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity in 12/2025. 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. 4- 01/05/2026 - Ashwood Wealth Managment - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 12/12/2025 - 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-03 |
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