Scott Daniel Serfass

Current Employers

Employment History

• 09/2005 → 03/2021
  Ameriprise Financial Services, Inc.
  Charlotte, NC
• 03/2021 → Present
  Lpl Financial Llc
  Charlotte, NC
• 03/2021 → Present
  Independent Advisor Alliance
  Charlotte, NC

Previous Registrations

• 2004-08-03 → 2021-03-09
  Ameriprise Financial Services, Llc
  Charlotte, NC
  Akron, OH

Other Businesses

1)02/09/2021 - WakePoint Wealth Advisors - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2021 - 160 Hr/Mth 2)02/09/2021 - POA - Act in a Fiduciary Capacity - Non-Inv Rel - Charlotte, NC - Start: 03/2021 3)02/09/2021 - Author - Non-Inv Rel - Charlotte, NC 4) 3/10/2021 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 03/01/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 15% - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 3/2021. 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.

Exams

• S66 Uniform Combined State Law Examination
  2004-08-16