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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 | 2019-03-26 |
| TX | RA | APPROVED | 2019-03-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Lexington | KY | 03/2012 | Present |
| Independent Financial Partners | Lexington | KY | 04/2012 | 03/2019 |
| Independent Advisor Alliance | Charlotte | NC | 03/2019 | Present |
1. 04/09/2012: No Business Name - Investment Related - Lexington, KY 4050 - REAL ESTATE RENTAL - TIME SPENT 0% - OWNED A 4-PLEX SINCE 1986. 2. 8/2/2013: ASHWOOD WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 3. 3/25/2019 - AWM, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/01/2018 - 40 Hours Per Month/6 Hours During Securities Trading. 4. 2/12/2020 - Always Say Yes, LLC - Investment Related - 195 Kentucky Ave. Lexington, KY 40502 - Real Estate Rental - Started 10/01/2019 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 02/16/2022- Always Say Yes, LLC- Not Investment Related - At Reported Business Location(s)- Other - Vacation home in Sun Valley, Idaho - Co-owner- Start Date - 01/01/2021.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-10 |
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