Stephen Wayne Gaskins

Current Employers

Employment History

• 06/2016 → Present
  Lpl Financial Llc
  Wilmington, NC
• 06/2016 → 12/2020
  Stratos Wealth Partners, Ltd
  Wilmington, NC
• 12/2020 → Present
  Independent Advisor Alliance
  Wilmington, NC

Previous Registrations

• 2016-06-21 → 2020-12-17
  Stratos Wealth Partners, Ltd
  Wilmington, NC
  Wilmington, NC
• 2015-04-28 → 2016-06-21
  Davis Wealth Management
  Durham, NC
• 2015-04-07 → 2015-04-28
  Intercarolina Financial Services, Inc.
  Wilmington, NC
  Greensboro, NC
  Greensboro, NC
• 2009-11-05 → 2015-04-06
  Old North State Wealth Management, Llc
  Wilmington, NC
  Wilmington, NC
• 2005-03-18 → 2009-11-05
  Old North State Trust, Llc
  Siler City, NC
• 2001-12-31 → 2005-02-15
  Citigroup Global Markets Inc.
  Wilmington, NC

Other Businesses

1. 6/20/2016 - Gaskins Financial, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 400 Hours Per Month/6 Hours During Securities Trading - Time Spent 95%. 2. 8/1/2016 - Gaskins Financial, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 07/01/2015 - 160 Hours Per Month/140 Hours During Securities Trading. 3. 3/26/2018 - The Cason Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/01/2018 - 5 Hours Per Month/1 Hour During Securities Trading. 4. 2/19/2021 - Stekarcha Ventures, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 12/11/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 3/17/2021 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/14/2020 - 200 Hours Per Month/7 Hours During Securities Trading. 6. 7/9/2021 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Stated 12/14/2020 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 7/2021. 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. 7. 9/2/2021 - Sniksag Properties, LLC - Investment Related - Wilmington, NC 29403 - Real Estate Rental - Started 08/16/2021 - 2 Hours Per Month During Securities Trading. 8. 09/16/2022 - Sage Insurance Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 08/11/2022 - 4 Hours Per Month/4 Hours During Securities Trading 9. 11/01/2023 - Shady Grove Farms, LLC - Rep's Business - Not Investment Related - 180 Shade Fisher Road, Whiteville, NC 28472 - Start Date 10/23/2023 - 8 Hours Per Month/ 0 Hours During Trading 10. 06/25/2024 - Gaskins Gibson Capital, LLC - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 6/13/2024 - 160 Hrs/Mo; 140 Hrs During Trading. 11. 07/23/2024 - Independent Advisor Alliance - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 06/25/2024 - 160 Hours Per Month/ 140 Hours During Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 7/2024. 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 service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S63 Uniform Securities Agent State Law Examination
  2000-06-30
• S65 Uniform Investment Adviser Law Examination
  2000-06-26

Designations

Other Names

• Steve Gaskins