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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2022-10-01 |
| TX | RA | APPROVED | 2022-10-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Conway | AR | 10/2015 | Present |
| Genwealth Financial Advisors, Llc | Conway | AR | 12/2017 | Present |
1. 10/12/2017 - GenWealth Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/12/2017 - 280 Hours Per Month/8 Hours During Securities Trading. 2. 12/7/2017 - AdvisorOnline (powered by GenWealth) - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Dated 12/15/2017 - 5 Hours Per Month During Securities Trading. 3. 12/27/2017 - No Business Name - Investment Related - Home Based - Tax Prep/Accounting/CPA - Started 12/15/2017 - 5 Hours Per Month/0 Hours During Securities Trading - Enter financial data for small business owner (Anne Everett Rae) into QuickBooks to create reports needed for her accountant to do tax returns. 4. 9/30/2022 - Independent Advisor Alliance - Registered Investment Advisor - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Charlotte, NC 5. 09/30/2022 - GENWEALTH FINANCIAL ADVISORS/ DBA FOR RIA BUSINESS (ENTITY FOR RIA BUSINESS)/ 100%/ CONWAY, AR 6. 10/14/2022 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 09/30/2022 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 09/30/2022. 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. 7. 10/14/2022 - Independent Advisor Alliance - DBA: GenWealth Financia Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date - 09/30/2022 - 160 Hours Per Month/160 Hours During Securities Trading 8. 2/14/2023 - The Milner Group - Not Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Advisor/Agent - Start Date - 2 Hours Per Month/2 Hours During Securities Trading02/07/2023 - 9. 02/14/2024 - Spark - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 3/1/2024 - 10 Hrs/Mo During Trading. 10. 05/29/2024 - Spark - Registered Investment Advisor DBA - Investment Related - At Reported Business Location(s) - Start Date 06/03/2024 - 20 Hours Per Month/ During Trading - I provide investment advisory services through Independent Advisor Alliance, LLC an independent investment advisor firm. I started this business activity in 5/2024. 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 service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 11. 12/23/2024- Sage Insurance Partners- Non-Variable Insurance-INV Related- At Reported Business Location(s)- Start date 12/20/2024- 4 Hours Per Month- 4 Hours During Trading 12) 03/13/2025 - Pulaski County Special School District - Not Investment Related - Outside/W-2 Employment - Maumelle, AR - Start Date:03/06/2025 - 12 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-12-22 |
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