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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_RES | 2019-08-28 |
| NC | RA | APPROVED | 2016-06-02 |
| VA | RA | APPROVED | 2016-06-02 |
Branch Locations
1013 Chestnut Lane Suite 130, Matthews, NC 28104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Matthews | NC | 05/2016 | Present |
| Independent Advisor Alliance, Llc | Matthews | NC | 06/2016 | Present |
(1) 05/27/2016: Rutledge Financial Partners - DBA for LPL Business (entity for LPL business) - Investment Related - 1013 Chestnut Lane, Suite #130, Matthews, NC 28104 - Start 05/24/2016 - 20 Hr/Mo; 3 Hour(s) During Securities Trading; 3% Time Spent (2) 10/06/2016: Independent Advisor Alliance - Registered Investment Advisor DBA - DBA: (Hybrid) Rutledge Financial Partners - Investment Related - 1013 Chestnut Lane, Suite #130, Matthews, NC 28104 - Start 05/24/2016 - 160 Hr/Mo; 8 Hour(s) During Securities Trading; 95% Time Spent - I provide investment advisory services through Independent Advisor Alliance,LLC, an independent investment advisor firm. I started this business activity on 10/6/16. I expect to spend approximately 120 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) 10/06/2016: Independent Advisor Alliance - Registered Investment Advisor - DBA: (Hybrid) Independent Advisor Alliance - Investment Related - 12610 N Community House Rd, Ste 204, Charlotte, NC 28277 - Start 05/25/2016 - 120 Hr/Mo; 6 Hour(s) During Securities Trading; 90% Time Spent - I provide investment advisory services through Independent Advisor Alliance,LLC, an independent investment advisor firm. I started this business activity on 10/6/16. I expect to spend approximately 120 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) 3/13/2018 - Deltight Properties, LLC - Investment Related - Charlotte, NC 28213 - Real Estate Rental - Owner - Start Date: 02/01/2008 - 1 Hour Per Month/0 Hours During Securities Trading - Time Spent 1%. (5) 1/15/2020 - Financial Independence Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/02/2019 - 15 Hours Per Month/0 Hours During Securities Trading - Non-variable life, disability and long term care insurance support and issuance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 2012-01-12 |
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