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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2023-04-05 |
| CA | RA | APPROVED | 2018-12-27 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | San Diego | CA | 09/2013 | Present |
| Independent Financial Partners | San Diego | CA | 07/2016 | 12/2018 |
| Independent Advisor Alliance, Llc | San Diego | CA | 12/2018 | Present |
1. 10/22/2015: Backnine Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/05/2015 - 1 Hour Per Month/0 Hours During Securities Trading - Life Insurance Agent. 2. 1/17/2019 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 12/23/2018 - 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 1/8/2019. 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. 3. 1/17/2019 - Independent Advisor Alliance - DBA: (Hybrid) CWL Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 12/23/2018 - 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 1/8/2019. 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. 4. 3/1/2019 - CWL Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/23/2018 - 160 Hours Per Month/8 Hours During Securities Trading. 5. 12/29/2020 - No Business Name - Investment Related - San Diego, CA 92103 - Real Estate Rental - Start Date: 02/01/2021 - 4 Hours Per Month/0 Hours During Securities Trading - Rent out room above detached garage on Airbnb. 6. 12/12/2023 - Real Estate Rental - Investment Related - Los Angeles, CA - Start Date 12/15/2023 - 1 Hour Per Month/ 0 Hours During Trading 7. 10/08/2025 - Real Estate Rental - Investment Related - Los Angeles, CA - Start Date 10/01/2025 - 1 Hour Per Month/ 0 Hours During Trading 8. 04/13/2026 - Christopher W. Lowe - Teacher Paid by School or University - Adjunct/Substitute Professor - Not Investment Related - San Diego, CA - Start Date 09/01/2026 - 12 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-07 |
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