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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-02-25 |
| DC | RA | APPROVED | 2026-02-23 |
| GA | RA | APPROVED | 2026-01-09 |
| NY | RA | APPROVED | 2021-12-15 |
| NC | RA | APPROVED | 2021-12-13 |
| SC | RA | APPROVED | 2021-12-13 |
| TX | RA | APPROVED | 2021-12-13 |
Branch Locations
1441 Main Street Suite 850, Columbia, SC 29201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stephens | Columbia | SC | 09/2010 | 11/2021 |
| Lpl Financial, Llc | Columbia | SC | 12/2021 | Present |
| Independent Advisor Alliance | Charlotte | NC | 12/2021 | Present |
1. 12/13/2021 - WAY AND WAY/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ COLUMBIA, SC 2. 12/27/2021 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 05/10/2021 - 160 Hours Per Month/160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisory Alliance, an independent investment advisor firm. I started this business activity in 05/2021. 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 1982-10-25 |
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