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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 2022-09-30
TX RA APPROVED 2022-09-30
  • AR RA
    APPROVED
    Since 2022-09-30
  • TX RA
    APPROVED
    Since 2022-09-30

Branch Locations

900 S Shackleford Rd Ste 605, Little Rock, AR 72211 • 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 Bryant AR 04/2016 09/2022
Lpl Financial, Llc Bryant AR 04/2016 Present
Independent Advisor Alliance Charlotte NC 09/2022 Present
  • 04/2016 → 09/2022
    Genwealth Financial Advisors, Llc
    Bryant, AR
  • 04/2016 → Present
    Lpl Financial, Llc
    Bryant, AR
  • 09/2022 → Present
    Independent Advisor Alliance
    Charlotte, NC
Previous Registrations
  • 2016-11-08 → 2022-12-14
    Genwealth Financial Advisors, Llc
    Bryant, AR
    Bryant, AR
Other Businesses

1. 06/23/2016 - GENWEALTH FINANCIAL ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ BRYANT, AR 2. 3/13/2017 - GenWealth Financial Services LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Startd 02/17/2017 - 10 Hours Per Month During Securities Trading. 3. 03/31/2017 - AdvisorOnline (powered by GenWealth) - Investment Related - AT Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - This is a DBA only for marketing purposes for use with the GWP platform. We are attempting to clearly separate the client experience of GWP with that of GenWealth Financial Advisors, our main DBA - Started 03/01/2017 - 5 Hours Per Month/5 Hours During Securities Trading. 4. 08/25/2021 - GenWealth Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Registered Representative - Start Date: 07/21/2021 - 5 Hours Per Month/5 Hours During Securities Trading. 5. 9/30/2022 - Independent Advisor Alliance - Registered Investment Advisor - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Charlotte, NC 6. 10/14/2022 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 10/01/2022 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 10/01/2022. 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. 7. 10/14/2022 - Independent Advisor Alliance - DBA: GenWealth Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date - 10/01/2022 - 160 Hours Per Month/8 Hours During Securities Trading 8) 01/13/2025 - Sage Insurance Services - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:12/20/2024 - 4 Hrs/Mth - 4 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-08-04
  • S66 Uniform Combined State Law Examination
    2016-08-04

View on SEC IAPD

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