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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
NC RA APPROVED 2023-06-12
  • NC RA
    APPROVED
    Since 2023-06-12

Branch Locations

11215 N. Community House Road Suite 775, Charlotte, NC 28277 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Charlotte NC 07/2021 06/2023
Movado Company Store Charlotte NC 10/2014 07/2021
Lpl Financial Charlotte NC 06/2023 Present
Independent Advisor Alliance Charlotte NC 06/2023 Present
  • 07/2021 → 06/2023
    Charlotte, NC
  • 10/2014 → 07/2021
    Movado Company Store
    Charlotte, NC
  • 06/2023 → Present
    Lpl Financial
    Charlotte, NC
  • 06/2023 → Present
    Independent Advisor Alliance
    Charlotte, NC
Previous Registrations
Other Businesses

1- 06/2023 / Independent Advisor AIliance / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mnth/40 hrs trading / 100% time spnt prcnt 2- 06/13/2023 - Independent Advisor AIliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date 06/07/2023 - 160 Hours Per Month/ 40 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 06/2023. 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. 3- 03/17/2026 - Visionary Square - Registered Investment Advisor DBA - Investment Related - At Reported Business Location(s) - Start Date 03/16/2026 - 160 Hours Per Month/ 140 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-08
  • S66 Uniform Combined State Law Examination
    2022-03-08

View on SEC IAPD

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