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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2022-09-30 |
Branch Locations
998 Shady Grove Road Ste E, Hot Springs, AR 71901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Bryant | AR | 08/2016 | Present |
| Independent Advisor Alliance | Charlotte | NC | 09/2022 | Present |
(1) 08/02/2016: Genwealth Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/02/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. (2) 11/1/2016: No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Started 01/01/2013 - 1 Hour Per Month During Securities Trading. (3) 10/14/2022 - Independent Advisor Alliance - DBA: GenWealth Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin - Start Date - 10/03/2022 - 160 Hours Per Month/8 Hours During Securities Trading (4) 10/14/2022 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin - Start Date - 10/03/2022 - 160 Hours Per Month/8 Hours During Securities Trading - I provide administrative support to Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 10/2022. 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 2013-06-27 |
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