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Current Employers
Independent Advisor Alliance, Llc

11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2025-01-28
  • WI RA
    APPROVED
    Since 2025-01-28

Branch Locations

2301 Sun Valley Drive Suite 202, Delafield, WI 53018 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 01/2021 → 10/2024
    Ellenbecker Investment Group, Inc.
    Pewaukee, WI
  • 12/2020 → 01/2021
    Unemployed
    Cudahy, WI
  • 07/2020 → 12/2020
    Franklin Meats
    Franklin, WI
  • 05/2020 → 07/2020
    Unemployed
    Cudahy, WI
  • 05/2019 → 05/2020
    African American Chamber Of Commerce Wi
    Milwaukee, WI
  • 01/2019 → 05/2019
    Refinitive
    Brookfield, WI
  • 06/2018 → 05/2019
    African American Chamber Of Commerce Wi
    Milwaukee, WI
  • 07/2018 → 01/2019
    Hotel Madrid
    Milwaukee, WI
  • 03/2018 → 08/2018
    Aimbridge Hospitality
    Milwaukee, WI
  • 04/2017 → 03/2018
    Unemployed
    Shorewood, WI
  • 05/2013 → 04/2017
    Uniplan Investment Counsel
    Union Grove, WI
  • 11/2024 → Present
    Lpl Financial Llc
    Delafield, WI
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-12-23
S65 Uniform Investment Adviser Law Examination 2022-03-29
  • S63 Uniform Securities Agent State Law Examination
    2024-12-23
  • S65 Uniform Investment Adviser Law Examination
    2022-03-29

View on SEC IAPD

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