Thomas Warren Bass

Current Employers

Employment History

• 06/2012 → 09/2019
  Cambridge Investment Research, Inc
  Fairfield, IA
• 06/2012 → 09/2019
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA
• 10/2019 → Present
  Lpl Financial Llc
  Roanoke, VA
• 10/2019 → Present
  Independent Advisor Alliance
  Charlotte, NC

Previous Registrations

• 2012-06-29 → 2019-10-25
  Cambridge Investment Research Advisors, Inc.
  Roanoke, VA
• 2000-02-16 → 2012-07-06
  Ameriprise Financial Services, Llc
  Roanoke, VA
  Roanoke, VA
  Mechanicsville, VA
  Mechanicsville, VA
  Mechanicsville, VA
  Roanoke, VA
  Mechanicsville, VA

Other Businesses

1)09/17/2019 - Bass Financial Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - 2)09/17/2019 - Thomas W Bass, Inc. - Business Entity for Tax Reporting Purposes - inv rel - at reported business location(s) 2)10/16/2019 - Bass Financial Management - DBA for IAA Business (entity for IAA business) - inv rel - at reported business location(s) - 2)10/16/2019 - Thomas W Bass, Inc. - Business Entity for Tax-Investment Purposes - inv rel - at reported business location(s) 3) 05/24/2022 - Independent Advisor Alliance - DBA: Bas Financial Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date - 10/15/2019 - 35 Hours Per Month/ 35 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 05/2022. I expect to spend approximately 140 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) 05/24/2022 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 10/15/2019 - 35 Hours Per Month/ 35 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 05/2022. I expect to spend approximately 140 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.

Exams

• S66 Uniform Combined State Law Examination
  2000-01-10

Other Names

• Warren Bass