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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-01-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mb2 Raceway Lexington | Leington | KY | 04/2017 | 04/2020 |
| University Of Kentucky | Lexington | KY | 09/2014 | 05/2019 |
| L.M. Communications | Lexington | KY | 05/2016 | 09/2016 |
| Lpl Financial Llc | Lexington | KY | 02/2020 | Present |
1) 12/16/2024- DBA for LPL Business (entity for LPL business)- Ashwood Wealth Management- INV Related- Home based- Start date 12/11/2024- 140 Hours Per Month- 120 Hours During Trading 2) 01/16/2025 - DBA for RIA Business - Ashwood Wealth Management- INV Related- Home based- Start date 01/16/2025- 140 Hours Per Month- 120 Hours During Trading 3) 12/24/2024- INDEPENDENT ADVISOR ALLIANCE, LLC- Registered Investment Advisor Hybrid-I provide administrative support to INDEPENDENT ADVISOR ALLIANCE, LLC, an independent investment advisor firm. I started this business activity in 12/2024. I expect to spend approximately 140 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.- INV Related- At reported business location(s)- Start date 12/11/2024- 140 Hours Per Month- 120 Hours During Trading 4) 03/21/2025 - Thompson Girl LLC - Not Investment Related - Fontaine Road - Real Estate Rental - Start Date:02/01/2025 - 5 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-11-26 |
| S63 | Uniform Securities Agent State Law Examination | 2023-08-23 |
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