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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2018-12-20 |
| OR | RA | APPROVED | 2018-08-24 |
| FL | RA | APPROVED | 2018-08-23 |
| GA | RA | APPROVED | 2018-08-22 |
| OH | RA | APPROVED | 2018-08-17 |
| CA | RA | APPROVED | 2018-08-16 |
| IL | RA | APPROVED | 2018-08-16 |
| IN | RA | APPROVED | 2018-08-16 |
Branch Locations
4030 Smith Road Suite 200, Cincinnati, OH 45209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Cincinnati | OH | 11/2012 | Present |
| Independent Financial Partners | Cincinnati | OH | 11/2012 | 08/2018 |
| Independent Advisor Alliance | Cincinnati | OH | 08/2018 | Present |
1. 09/27/2012 - WRESTLING COACH/ COACHING HIGH SCHOOL AND MIDDLE SCHOOL KIDS WRESTLING/ 1%/ CINCINNATI, OH 2. 12/11/2015 * Thomas C. Moore LLC. * Business Entity For Tax/Investment Purposes Only * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 01/01/2015 * 1 HR/MO NOT DURING SECS TRDG HRS. 3. 12/30/2015 - NO BUSINESS NAME - INV REL - 3805 Edwards Rd. Suite 550 Cincinnati Ohio 45209 - Non-Variable Insurance - START 01/01/2015 - Owner 4. 6/5/2018 - Curry Moore & Associates Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/18/2018 - 160 Hours Per Month During Securities Trading. 5. 8/21/2018 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 08/15/2018 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 8/21/2018. 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-01-12 |
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