Stephen Giles Tompkins

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Seneca, SC
• 11/2016 → 11/2020
  Wells Fargo Clearing Services, Llc
  Seneca, SC
• 11/2020 → Present
  Lpl Financial Llc
  Clemson, SC
• 11/2020 → Present
  Independent Advisor Alliance, Llc
  Clemson, SC

Previous Registrations

• 2008-01-01 → 2020-11-11
  Wells Fargo Clearing Services, Llc
  Seneca, SC
• 1999-10-15 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Seneca, SC
  St. Louis, MO
  Seneca, SC

Other Businesses

1. 11/23/2020 - Blackbridge Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/18/2020 - 24 Hours Per Month/1 Hours During Securities Trading - Time Spent 15%. 2. 11/23/2020 - TREKIN LLC - Not Investment Related - 306 Bent Oak Lane, Central, SC 29630 - Business Entity For Tax/Investment Purposes Only - Started 10/01/2007 - 0 Hours Per Month - Time Spent 0%. 3. 12/3/2020 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 11/18/2020 - 136 Hours Per Month/7 Hours During Securities Trading - Time Spent 85% - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 12/2020. I expect to spend approximately 136 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. 07/19/2022 - Independent Advisor Alliance - DBA: (Hybrid) Blackbridge Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/24/2020 - 160 Hours Per Month/132 Hour During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 07/2022. 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. 5. 08/30/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 08/16/2021 - 1 Hour Per Month/1 Hour During Securities Trading. 6. 07/05/2024 - Divitiae LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 09/13/2021 - 5 Hours Per Month/ 0 Hours During Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-10-12