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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
TX RA APPROVED_RES 2018-01-09
CA RA APPROVED 2016-06-30
  • TX RA
    APPROVED_RES
    Since 2018-01-09
  • CA RA
    APPROVED
    Since 2016-06-30

Branch Locations

50695 Calle Guaymas, La Quinta, CA 92253 • 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
Lpl Financial, Llc Rancho Mission Viejo CA 06/2016 Present
Independent Advisor Alliance Charlotte NC 06/2016 Present
  • 06/2016 → Present
    Lpl Financial, Llc
    Rancho Mission Viejo, CA
  • 06/2016 → Present
    Independent Advisor Alliance
    Charlotte, NC
Previous Registrations
  • 2000-01-13 → 2016-06-29
    National Planning Corporation
    Rancho Santa Margarita, CA
  • 2012-08-20 → 2016-06-29
    The Planners Network, Inc.
    Rancho Santa Margarita, CA
Other Businesses

(1) 10/06/2016: NADINE M LORD EA, CFP - Tax Prep/Accounting/CPA - Investment Related - 30021 TOMAS, SUITE 300, RANCHO SANTA MARGARITA CA 92688 - Start 06/30/2016 - 27 Hr/Mo; 0 Hour(s) During Securities Trading - INCOME TAX PREPARATION. E&O COVERAGE PROVIDED BY CALSURANCE x 7/1/2017 (2) 1/31/2023 - INDEPENDENT ADVISOR ALLIANCE - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 06/30/2016 - 152 Hours Per Month/141 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 02/2023. 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) 3/16/2023 - LORD WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 06/29/2015 - 152 Hours Per Month/141 Hours During Securities Trading (4) 3/16/2023 - NADINE M LORD EA, CFP - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date - 06/30/2016 - 27 Hours Per Month/0 Hours During Securities Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-10-10
  • S63 Uniform Securities Agent State Law Examination
    1990-10-10
Other Names
  • Nadine Lord Divan
  • Nadine Marie Lord

View on SEC IAPD

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