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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2017-06-14 |
Branch Locations
3130 Fairhill Dr. Suite 108, Raleigh, NC 27606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Raleigh | NC | 09/2005 | 06/2017 |
| Lpl Financial Llc | Raleigh | NC | 06/2017 | Present |
| Independent Advisor Alliance, Llc | Raleigh | NC | 06/2017 | Present |
1. 6/14/2017 - Lipson, Williams, Perry & Kaptanoglu, LLC- Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start 06/15/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% 2. 6/14/2017 - Socratic Wealth Advisors - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/14/2017 - 8 Hours Per Month/2 Hours During Securities Trading - Time Spent 15%. 3. 6/22/2017 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 06/15/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 6/22/17. I expect to spend approximately 160 hours/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. 3/18/2020 - Socratic Better Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/01/2020 - 160 Hours Per Month/7 Hours During Securities Trading. 5. 12/04/2023 - Kaptan Wealth Management Group, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 10/12/2023 - 120 Hours Per Month/ 5 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-17 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-26 |
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