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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
KY RA APPROVED 2025-01-20
  • KY RA
    APPROVED
    Since 2025-01-20

Branch Locations

195 Kentucky Ave, Lexington, KY 40502 • 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
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
  • 04/2017 → 04/2020
    Mb2 Raceway Lexington
    Leington, KY
  • 09/2014 → 05/2019
    University Of Kentucky
    Lexington, KY
  • 05/2016 → 09/2016
    L.M. Communications
    Lexington, KY
  • 02/2020 → Present
    Lpl Financial Llc
    Lexington, KY
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-26
S63 Uniform Securities Agent State Law Examination 2023-08-23
  • S66 Uniform Combined State Law Examination
    2024-11-26
  • S63 Uniform Securities Agent State Law Examination
    2023-08-23
Other Names
  • C. Blake Erickson

View on SEC IAPD

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