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Current Employers
Independence Square Holdings, Llc

150 South Warner Road Suite 300, King Of Prussia, PA 19406 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2021-07-07
  • PA RA
    APPROVED
    Since 2021-07-07

Branch Locations

150 South Warner Road Suite 300, King Of Prussia, PA 19406 • 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
Bb&T Securities King Of Prussia PA 03/2016 02/2021
Sun Trust Investment Services King Of Prussia PA 08/2020 07/2021
Suntrust Advisory Services, Inc Atlanta GA 08/2020 07/2021
Truist Investment Services, Inc. King Of Prussia PA 02/2021 02/2021
Lpl Financial Llc King Of Prussia PA 07/2021 Present
Independence Square Holdings, Llc King Of Prussia PA 07/2021 Present
  • 03/2016 → 02/2021
    Bb&T Securities
    King Of Prussia, PA
  • 08/2020 → 07/2021
    Sun Trust Investment Services
    King Of Prussia, PA
  • 08/2020 → 07/2021
    Suntrust Advisory Services, Inc
    Atlanta, GA
  • 02/2021 → 02/2021
    Truist Investment Services, Inc.
    King Of Prussia, PA
  • 07/2021 → Present
    Lpl Financial Llc
    King Of Prussia, PA
  • 07/2021 → Present
    King Of Prussia, PA
Previous Registrations
  • 2020-08-31 → 2021-07-07
    King Of Prussia, PA
  • 2018-04-05 → 2021-03-02
    Bb&T Securities, Llc
    King Of Prussia, PA
    Richmond, VA
Other Businesses

1. 7/7/2021 - Independence Square Holdings - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/1/2019 - Time Spent 100%. 2. 8/24/2021 - Independence Square Holdings, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/1/2019 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independence Square Holdings, LLC, an independent investment advisor firm. I started this business activity in 11/2019. 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. 8/24/2021 - Independence Square Holdings, LLC - DBA: (Hybrid) Independence Square Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 11/1/2019 - Time Spent 100%.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-04-04
  • S66 Uniform Combined State Law Examination
    2018-04-04
Other Names
  • Christine Diane Warner
  • Christine Diane Warner
  • Christine Diane Hincken

View on SEC IAPD

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