Thomas John Faber

Current Employers

Employment History

• 05/2015 → 04/2017
  Ameriprise Financial Services, Inc.
  Erie, PA
• 04/2017 → 12/2018
  Ameriprise Financial Services, Inc.
  Palmdale, CA
• 01/2019 → Present
  Lpl Financial Llc
  Charlotte, NC
• 01/2019 → Present
  Independent Advisor Alliance
  Charlotte, NC

Previous Registrations

• 2015-12-02 → 2019-01-09
  Ameriprise Financial Services, Llc
  Erie, PA
  Woodland Hills, CA

Other Businesses

1. 1/2/2019 - Blackbridge Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/2/2019 - Time Spent 50%. 2. 2/12/2019 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 1/2/2019 - 80 Hours Per Month - Time Spent 50% - I provide investment advisory services through Independent Advisor Alliance an independent investment advisor firm. I started this business activity on 2/12/2019. I expect to spend approximately 80 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. 2/12/2019 - Independent Advisor Alliance - DBA: (Hybrid) Blackbridge Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 1/2/2019 - 80 Hours Per Month - Time Spent 50% - I provide investment advisory services through Independent Advisor Alliance an independent investment advisor firm. I started this business activity on 2/12/2019. I expect to spend approximately 80 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. 10/23/2019 - Insurance Brokerage Services - Investment related - At reported business location(s) - Non-Variable Insurance - start date:07/19/2019 - 1 hr/mo - 1 hr during trading. 5. 1/4/2022 - Faber Wealth Management LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 12/29/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Business revenue for tax purposes/entity only. 6. 05/18/2023 - Keeping Wealth Simple - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 04/28/2023 - 160 Hours Per Month/7Hours During Securities Trading 7. 05/11/2023 - Keeping Wealth Simple - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date 04/28/2023 - 160 Hours Per Month/7Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 05/2023. 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

• S66 Uniform Combined State Law Examination
  2015-11-24

Designations

Other Names

• Thomas John Faber
• Thomas John Faber
• T.J. Faber