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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 2015-10-31
SC RA APPROVED 2015-10-02
  • NC RA
    APPROVED
    Since 2015-10-31
  • SC RA
    APPROVED
    Since 2015-10-02

Branch Locations

12610 N. Community House Road Suite 204, Charlotte, NC 28277 • 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
Lpl Financial Llc Charlotte NC 10/2015 Present
Independent Advisor Alliance Charlotte NC 10/2015 Present
  • 10/2015 → Present
    Lpl Financial Llc
    Charlotte, NC
  • 10/2015 → Present
    Independent Advisor Alliance
    Charlotte, NC
Previous Registrations
  • 2001-12-31 → 2015-10-01
    Cetera Wealth Services, Llc
    Concord, NC
    Charlotte, NC
Other Businesses

(1) 11/18/2015: Independent Advisor Alliance - Registered Investment Advisor - DBA: (HYbrid) Independent Advisor Alliance - Investment Related - 12610 N. Community House Rd Suite 204 Charlotte NC 28277 - 180 Hr/Mo - IAR (2) 02/01/2016: Dixon Wells and Di Broker - Non-Variable Insurance - Investment Related - 4777 Sharon Rd Suite 540, Charlotte NC 28210 - Start 01/25/2016 - 3 Hr/Mo; 1 Hour(s) During Securities Trading - Agent. Insurance Types: Life, Disability, LTC, Fixed Annuities (4) 04/07/2022: Independent Advisor Alliance - Registered Investment Advisor DBA - DBA: (Hybrid) Hensley Retirement Planning - Investment Related - Charlotte, NC - Start 04/07/2022 - 160 Hr/Mo; 8 Hour(s) During Securities Trading (5) 05/10/2016: Financial Consultants Network Inc. - Business Entity For Tax/Investment Purposes Only - Investment Related - Books are records are kept with my CPA, Kelly Washer 402 Springcrest Dr, Fort Mill SC 29715 - Start 05/11/2016 - 2 Hr/Mo; 0 Hour(s) During Securities Trading - The only source of revenue for this entity will be fees and commissions from the following entities: Blackbridge Financial (Independent Advisors alliance), LPL Financial, and other approved OBA's that generage commissions from the following products life, disability, long term care, and fixed annuities (6) 4/9/2018 - No Business Name - Investment Related - Home Based - Tax Prep/Accounting/CPA - Tax Preparer - Started 03/30/2018 - 2 Hours Per Month/1 Hour During Securities Trading. (7) 5/11/2021 - Hensley Retirement Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 4/19/2021 - 160 Hours Per Month/8 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-24
S63 Uniform Securities Agent State Law Examination 1994-08-29
  • S65 Uniform Investment Adviser Law Examination
    1996-07-24
  • S63 Uniform Securities Agent State Law Examination
    1994-08-29

View on SEC IAPD

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