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Current Employers
Independence Square Holdings, Llc

150 South Warner Road Suite 300, King Of Prussia, PA 19406 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2020-01-13
TX RA APPROVED 2020-01-13
  • PA RA
    APPROVED
    Since 2020-01-13
  • TX RA
    APPROVED
    Since 2020-01-13

Branch Locations

150 South Warner Road Suite 300, King Of Prussia, PA 19406 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2017-06-01
  • PA RA
    APPROVED
    Since 2017-06-01

Branch Locations

150 S Warner Rd Ste 402, King Of Prussia, PA 19406-2859 • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc King Of Prussia PA 05/2010 Present
Private Advisor Group, Llc King Of Prussia PA 06/2012 01/2020
Independence Square Holdings, Llc King Of Prussia PA 08/2019 10/2019
Independence Square Holdings, Llc King Of Prussia PA 08/2019 Present
Previous Registrations
Other Businesses

1. 11/24/2015 - Devon Park Advisory - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - START 01/01/2015 - 10 Hours Per Month During Securities Trading. 2. 7/28/2016: The Plan Advocate - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/26/2016 - 5 Hours Per Month/3 Hours During Securities Trading. 3. 9/24/2019 - Independence Square Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/01/2019 - 160 Hours Per Month During Securities Trading. 4. 1/24/2020 - Independence Square Holdings, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Independence Square Holdings, LLC, an independent investment advisor firm. I started this business activity in 11/2019. 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. 5. 1/24/2020 - Independence Square Holdings, LLC - DBA: (Hybrid) Independence Square Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading 6. 08/07/2023 - Highland Capital - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 08/01/2019 - 1 Hour Per Month/ 0 Hours During Trading 7. 08/23/2023 - One Resource Group - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 08/01/2019 - 1 Hour Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-10
  • S66 Uniform Combined State Law Examination
    2004-09-10
Designations

View on SEC IAPD

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