Steven Duane Dye

Current Employers

Independent Advisor Alliance, Llc

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

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2019-06-18

WI RA
APPROVED

Since 2019-06-18

Branch Locations

W 248 N 5233 Executive Drive Suite 500, Sussex, WI 53089 • 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
Waddell & Reed, Inc	Germantown	WI	04/2014	06/2019
Various Insurance Carriers For W&R Insurance Agencies	Wauwatosa	WI	08/2014	06/2019
Uber	San Francisco	CA	04/2017	01/2018
Benjamin Haddorff	Germantown	WI	10/2017	06/2019
Lpl Financial Llc	Sussex	WI	06/2019	Present
Independent Advisor Alliance	Charlotte	NC	06/2019	Present

04/2014 → 06/2019

Waddell & Reed, Inc

Germantown, WI
08/2014 → 06/2019

Various Insurance Carriers For W&R Insurance Agencies

Wauwatosa, WI
04/2017 → 01/2018

Uber

San Francisco, CA
10/2017 → 06/2019

Benjamin Haddorff

Germantown, WI
06/2019 → Present

Lpl Financial Llc

Sussex, WI
06/2019 → Present

Independent Advisor Alliance

Charlotte, NC

Previous Registrations

2014-06-18 → 2019-06-19

Waddell & Reed

Waukesha, WI

Germantown, WI

Hamden, CT

Other Businesses

1)04/05/2019 - Non-Variable Insurance - inv rel - at reported business location(s) 2)04/05/2019 - Forward Financial - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2)06/18/2019 - Forward Financial Group - DBA name for RIA business - 50% - Investment Related - Sussex Wisconsin 3)06/18/2019 - Forward Financial Group - DBA name for LPL business - 50% - Investment Related - Sussex Wisconsin 4. 09/25/2019 - Independent Advisor Alliance - DBA:(Hybrid) Forward Financial - Investment related - At reported business location(s) - Registered Investment Advisor DBA - 160 hrs/mo - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 09/2019. 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. 5. 09/25/2019 - Independent Advisor Alliance - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - 160 hrs/mo - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 09/2019. 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.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-06-18

S66 Uniform Combined State Law Examination

2014-06-18

View on SEC IAPD