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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-09-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Straight Arrow Financial Group | Richfield | WI | 05/2022 | Present |
| Student | Cedar Grove | WI | 05/2014 | 05/2022 |
| Lpl Financial Llc | Richfield | WI | 05/2022 | Present |
1) 05/23/2024-Cedar Grove-Belgium High School-High School wrestling coach-Not Inv Related-At Cedar Grove, WI-Start date 06/03/2024-30 hrs/mth 2) 05/23/2024-Straight Arrow Financial Group-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s) 3) 10/03/2024 - Straight Arrow Financial Group - Registered Investment Advisor DBA - Advisor - Investment Related - At Reported Business Location(s) - Start Date 06/03/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 10/2024. 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. 4) 10/03/2024 - Independent Advisor Alliance - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 06/03/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 10/2024. 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-20 |
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