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2242 Mt. Zion Road, Jonesboro, GA 30236 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2022-06-06 |
| TX | RA | APPROVED_RES | 2022-06-06 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Morrow | GA | 09/2007 | 05/2017 |
| Lpl Financial Llc | Jonesboro | GA | 04/2017 | Present |
| Independent Advisor Alliance, Llc | Jonesboro | GA | 05/2017 | 05/2024 |
| Capital And Planning, Llc | Jonesboro | GA | 04/2022 | Present |
| Edmonstone & Macmillan, Llc | Jonesboro | GA | 01/2018 | Present |
1. 05/11/2017 - Capital and Planning LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start Date 04/26/2017 - 60 Hours Per Month/ 8 Hours During Trading 2. 09/14/2022 - Capital and Planning LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 08/31/2022 - 140 Hours Per Month/ During Trading - I provide investment advisory services through Capital and Planning, an independent investment advisor firm. I started this business activity in 08/2022. 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. 3. 11/03/2022 - Capital and Planning, LLC - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 06/30/2022 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Capital and Planning, LLC, an independent investment advisor firm. I started this business activity in 06/2022. 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. 4. 11/03/2022 - Capital and Planning - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/31/2022 - 140 Hours Per Month/ During Trading 5. 11/08/2022 - Capital and Planning - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 04/20/2017 - 140 Hours Per Month/ 20 Hours During Trading - I provide investment advisory services through Capital and Planning, an independent investment advisor firm. I started this business activity in 04/2022. I expect to spend approximately 140 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-17 |
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