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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-01-28 |
Branch Locations
2301 Sun Valley Drive Suite 202, Delafield, WI 53018 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ellenbecker Investment Group, Inc. | Pewaukee | WI | 01/2021 | 10/2024 |
| Unemployed | Cudahy | WI | 12/2020 | 01/2021 |
| Franklin Meats | Franklin | WI | 07/2020 | 12/2020 |
| Unemployed | Cudahy | WI | 05/2020 | 07/2020 |
| African American Chamber Of Commerce Wi | Milwaukee | WI | 05/2019 | 05/2020 |
| Refinitive | Brookfield | WI | 01/2019 | 05/2019 |
| African American Chamber Of Commerce Wi | Milwaukee | WI | 06/2018 | 05/2019 |
| Hotel Madrid | Milwaukee | WI | 07/2018 | 01/2019 |
| Aimbridge Hospitality | Milwaukee | WI | 03/2018 | 08/2018 |
| Unemployed | Shorewood | WI | 04/2017 | 03/2018 |
| Uniplan Investment Counsel | Union Grove | WI | 05/2013 | 04/2017 |
| Lpl Financial Llc | Delafield | WI | 11/2024 | Present |
1) 11/2024 - One Tree Hill Investment Advisors /DBA for LPL Business (entity for LPL business) / Inv. Related / DELAFIELD, WI 53018 / Start date 11/25/2024 - 160 Hrs per month - 100% Time Spent 2) 02/21/2025- One Tree Hill Investment Advisors- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 01/31/2025- 160 Hours Per Month- 7 Hours During Trading 3) 02/12/2025- Independent Advisor Alliance, LLC- Registered Investment Advisor Hybrid- INV related- At Reported Business Location (s)- Start date 01/31/2025-160 Hours Per Month- 7 Hours During Trading- I provide investment advisory services through Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity in 1/2025. 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. 4) 02/12/2025- Independent Advisor Alliance, LLC- Registered Investment Advisor DBA- INV Related- At Reported Business Location(s)- Start date 01/31/2025- 160 Hours Per Month- 7 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-12-23 |
| S65 | Uniform Investment Adviser Law Examination | 2022-03-29 |
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