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Current Employers
Independent Advisor Alliance, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2017-07-19
  • SC RA
    APPROVED
    Since 2017-07-19

Branch Locations

1213 Lady Street Suite 200, Columbia, SC 29201 • 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
Lpl Financial Columbia SC 01/2014 Present
First Community Bank Columbia SC 01/2014 Present
Independent Advisor Alliance, Llc Columbia NC 07/2017 Present
  • 01/2014 → Present
    Lpl Financial
    Columbia, SC
  • 01/2014 → Present
    First Community Bank
    Columbia, SC
  • 07/2017 → Present
    Columbia, NC
Other Businesses

1)1/28/14-05/28/2013 - FIRST COMMUNITY FINANCIAL CONSULTANTS - Investment Related - At Reported Business Locations(s) - DBA for LPL Business (entity for LPL business). 2) 08/10/2017 -First Community Financial Consultants-investment related- At reported business location(s)-Registered Investment Advisor DBA-start 07/18/2017-Hours per month 160/ hours during trading 8-I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 8/10/2017. I expect to spend approximately 160 hours/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) 08/10/2017 -Independent Advisor Alliance (IAA)-investment related- At reported business location(s)-Registered Investment Advisor Hybrid-start 07/18/2017-Hours per month 160/ hours during trading 8-I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 8/10/2017. I expect to spend approximately 160 hours/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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-04
  • S66 Uniform Combined State Law Examination
    2014-03-04

View on SEC IAPD

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