Darryl Cermak-serfass

Employer firm

Independent Advisor Alliance, LLC CRD 168267

$17.2B regulatory AUM 533 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Independent Advisor Alliance, Llc

11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-01-09
VA	RA	APPROVED	2018-03-05
NC	RA	APPROVED	2014-10-07

TX RA
APPROVED

Since 2019-01-09
VA RA
APPROVED

Since 2018-03-05
NC RA
APPROVED

Since 2014-10-07

Branch Locations

Summerfield, NC • 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

Organization	City	State	From	To
Lpl Financial, Llc	Greensboro	NC	10/2014	Present
Independent Advisor Alliance	Charlotte	NC	11/2014	Present

10/2014 → Present

Lpl Financial, Llc

Greensboro, NC
11/2014 → Present

Independent Advisor Alliance

Charlotte, NC

Previous Registrations

2009-05-22 → 2014-10-07

Wells Fargo Clearing Services, Llc

Greensboro, NC

Other Businesses

(1) 10/06/2014: Juice Plus - Outside/W-2 Employment - Not Investment Related - At Reported Business Location(s) - 1% Time Spent - Manage/sell nutritional products mainly for personal consumption by myself and my family. (2) 10/06/2014: Juice Plus - Direct Sales - Not Investment Related - At Reported Business Location(s) - 1% Time Spent - Sales Distributor. I market nutritional products on a very limited basis. (3) 03/01/2018: Bluewater Financial Services - DBA for IAA Business (entity for IAA business) - Investment Related - At Reported Business Location(s) - 35% Time Spent (4) 10/06/2014: Darryl Cermak-Serfass - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 5% Time Spent - Registered rep offering Life and LTC. (5) 11/26/2014: Independent Advisor Alliance - Registered Investment Advisor - DBA: (Hybrid)Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - 65% Time Spent - Investment Adviser Representative (6) 03/01/2018: Bluewater Financial Services- Insurance Agency - Investment Related - 2020 New Garden Road, Suite A Greensboro, NC 27410 - Start 02/04/2016 - 5 Hr/Mo; 3 Hour(s) During Securities Trading - Agent selling Life, Health, DI, LTC, Fixed Annuities (7) 09/14/2016: The Cason Group - Non-Variable Insurance - Investment Related - 2020 New Garden Road Suite A; Greensboro, NC 27410 - Start 08/31/2016 - 5 Hr/Mo; 1 Hour(s) During Securities Trading - Insurance Agent selling Life, DI, LTC (8) 01/04/2018 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date 03/01/2018 - 104 Hours Per Month/1 During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 1/4/2018. I expect to spend approximately 105 hours/month on this activity. Please see the advisory firms 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. (9) 12/25/2017 - Bluewater Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 03/01/2018 - 1 Hours Per Month/1 During Securities Trading.