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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
AR RA APPROVED 2022-10-02
LA RA APPROVED 2022-10-02
TX RA APPROVED 2022-10-02
  • AR RA
    APPROVED
    Since 2022-10-02
  • LA RA
    APPROVED
    Since 2022-10-02
  • TX RA
    APPROVED
    Since 2022-10-02

Branch Locations

301 N. Washington Ave. Ste 101, El Dorado, AR 71730 • 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
Genwealth Financial Advisors, Llc El Dorado AR 05/2015 09/2022
Lpl Financial, Llc El Dorado AR 10/2015 Present
Independent Advisor Alliance Charlotte NC 09/2022 Present
  • 05/2015 → 09/2022
    Genwealth Financial Advisors, Llc
    El Dorado, AR
  • 10/2015 → Present
    Lpl Financial, Llc
    El Dorado, AR
  • 09/2022 → Present
    Independent Advisor Alliance
    Charlotte, NC
Previous Registrations
  • 2016-07-05 → 2022-12-14
    Genwealth Financial Advisors, Llc
    Bryant, AR
Other Businesses

1) 07/27/2016 - GenWealth Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date - 05/20/2015 - 25 Hours Per Month/25 Hours During Securities Trading 2) 1/3/2017: No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary Public - Started 01/01/2017 - 0 Hours Per Month. 3) 2/27/2017: GenWealth Insurance Services LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 01/17/2017 - 10 Hours Per Month During Securities Trading - Fixed insurance. 4) 4/18/2017 - AdvisorOnline (powered by GenWealth) - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/01/2017 - 5 Hours Per Month During Securities Trading. 5) 10/14/2022 - Independent Advisor Alliance - DBA; GenWealth Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date - 09/30/2022 - 20 Hours Per Month/20 Hours During Securities Trading 6) 10/14/2022 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 09/30/2022 - 20 Hours Per Month/20 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 09/30/2022. I expect to spend approximately 20 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. 7). 12/13/2024 - Sage Insurance Partners - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date: 12/10/2024 - 4 Hrs/Mth - 4 Hrs During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-04-07
S63 Uniform Securities Agent State Law Examination 2016-02-15
  • S65 Uniform Investment Adviser Law Examination
    2016-04-07
  • S63 Uniform Securities Agent State Law Examination
    2016-02-15
Designations

View on SEC IAPD

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