Kenneth Andrew Putnam

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
FL	RA	APPROVED	2022-01-14
GA	RA	APPROVED	2022-01-10
TX	RA	APPROVED	2017-10-27
NC	RA	APPROVED	2017-10-26

FL RA
APPROVED

Since 2022-01-14
GA RA
APPROVED

Since 2022-01-10
TX RA
APPROVED

Since 2017-10-27
NC RA
APPROVED

Since 2017-10-26

Branch Locations

Cornelius, 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	Cornelius	NC	07/2011	Present
Cornerstone Financial Advisors	Huntersville	NC	07/2011	11/2017
Independent Advisor Alliance	Cornelius	NC	10/2017	Present

07/2011 → Present

Lpl Financial, Llc

Cornelius, NC
07/2011 → 11/2017

Cornerstone Financial Advisors

Huntersville, NC
10/2017 → Present

Independent Advisor Alliance

Cornelius, NC

Previous Registrations

2012-04-26 → 2017-11-03

Cornerstone Wealth

Huntersville, NC

Cornelius, NC

Other Businesses

1. 10/27/2017 - Blackbridge Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 10/30/2017. 2. 10/31/2017 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - 144 Hours Per Month During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 10/30/2017. I expect to spend approximately 144 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. 3. 10/31/2017 - Independent Advisor Alliance - DBA: (Hybrid) Blackbridge Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - 144 Hours Per Month During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 10/30/2017. I expect to spend approximately 144 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. 4. 12/02/2024 - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start Date 10/29/2024 - 1 hour per month/ 0 hours during trading 5. 11/12/2025 - Putnam Financial Advisors, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 02/28/2021 - 144 Hours Per Month/7 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-05-27

S66 Uniform Combined State Law Examination

2011-05-27

Designations

Certified Financial Planner

Other Names

Kenneth A. Putnam

View on SEC IAPD