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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2020-05-08 |
Branch Locations
940 Kimbark Street Suite 3, Longmont, CO 80501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Longmont | CO | 12/2009 | 05/2020 |
| Raymond James Financial Services Advisors, Inc | Longmont | CO | 01/2010 | 05/2020 |
| Lpl Financial, Llc | Longmont | CO | 05/2020 | Present |
| Independent Advisor Alliance, Llc | Longmont | CO | 05/2020 | Present |
1. 5/5/2020 - Vivant Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/2020 - Time Spent 100%. 2. 5/13/2020 - Independent Advisor Alliance, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 160 Hours Per Month - I provide investment advisory services through Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity in 05/2020. 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. 5/13/2020 - Independent Advisor Alliance - DBA: (Hybrid) Vivant Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/2020 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity in 05/2020. 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. 4. 10/6/2020 - Independent Advisor Alliance - DBA: (Hybrid) Vivant Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 05/05/2020 - 200 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 10/2020. I expect to spend approximately 200 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. 5. 11/05/2021 - Sage Insurance Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 10/18/2021 - 4 Hours Per Month/4 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-10 |
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