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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-01-11 |
| WA | RA | APPROVED | 2022-01-10 |
| WI | RA | APPROVED | 2021-05-12 |
| FL | RA | APPROVED | 2021-05-07 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Milwaukee | WI | 03/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Milwaukee | WI | 11/2016 | 04/2021 |
| Lpl Financial, Llc | Vero Beach | FL | 05/2021 | Present |
| Independent Advisor Alliance | Vero Beach | FL | 05/2021 | Present |
1. 5/4/2021 - FORWARD FINANCIAL - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 04/23/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 5/12/2021 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 04/23/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisor Alliance, independent investment advisor firm. I started this business activity in 5/2021. 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-09-26 |
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