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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-08-23 |
| SC | RA | APPROVED | 2014-09-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Columbia | SC | 09/2012 | Present |
| Independent Advisor Alliance, Llc | Columbia | SC | 09/2014 | Present |
1. 3/6/2014 - INDEPENDENT ADVISOR ALLIANCE - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - TIME SPENT 1% - Serve as Investment Advisor Representative under the Independent Advisor Alliance RIA. 2. 11/30/2018 - Grace Financial, LLC - DBA: Grace Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/29/2018 - 40 Hours Per Month/40 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-10-15 |
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