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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 | 2022-10-19 |
Branch Locations
W248 N5233 Executive Drive Suite 500, Sussex, WI 53089 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Yk Pao School | Shanghai | 08/2021 | 07/2022 | |
| The American School In Switzerland | Montagnola | 08/2017 | 07/2021 | |
| Waukesha South High School | Waukesha | WI | 08/2016 | 07/2017 |
| Lpl Financial | Sussex | WI | 08/2022 | Present |
| Independent Advisor Alliance | Sussex | WI | 10/2022 | Present |
1) 8/2022 - DBA for LPL Business (entity of LPL Business) - Forward Financial - Investment Related - 40 hr/trading - 160 hr/mon - 100% - Sussex, WI 53089 2) 05/31/2023 - Forward Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date 05/18/2023 - 160 Hours Per Month/ 130 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 06/2023. 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. 3) 05/31/2023 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 05/18/2023 - 160 Hours Per Month/ 130 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 06/2023. 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 4) 08/07/2023 - Forward Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/18/2023 - 160 Hours Per Month/ 130 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-10-14 |
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