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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-03 |
| SC | RA | APPROVED | 2017-07-18 |
Branch Locations
1213 Lady Street Suite 200, Columbia, SC 29206 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Columbia | SC | 10/2011 | Present |
| Independent Advisor Alliance | Columbia | SC | 07/2017 | Present |
(1) 8/20/2013 - FIRST COMMUNITY FINANCIAL CONSULTANTS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). (2) 8/9/2017 - Independent Advisor Alliance (IAA) - DBA: (Hybrid) Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 07/18/2017 - 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 8/9/2017. I expect to spend approximately 160 hours/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. (3) 8/9/2017 - Independent Advisor Alliance - DBA: (Hybrid) First Community Financial Consultants - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 07/18/2017 - 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 8/9/2017. I expect to spend approximately 160 hours/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) 9/18/2017 - Highland Capital Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/16/2017 - 20 Hours Per Month During Securities Trading - Life insurance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-02-09 |
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