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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
WI RA APPROVED 2022-10-19
  • WI RA
    APPROVED
    Since 2022-10-19

Branch Locations

W248 N5233 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
OrganizationCityStateFromTo
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
  • 08/2021 → 07/2022
    Yk Pao School
    Shanghai
  • 08/2017 → 07/2021
    The American School In Switzerland
    Montagnola
  • 08/2016 → 07/2017
    Waukesha South High School
    Waukesha, WI
  • 08/2022 → Present
    Lpl Financial
    Sussex, WI
  • 10/2022 → Present
    Independent Advisor Alliance
    Sussex, WI
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-14
  • S66 Uniform Combined State Law Examination
    2022-10-14

View on SEC IAPD

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