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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-01-09 |
| CA | RA | APPROVED | 2016-06-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Rancho Mission Viejo | CA | 06/2016 | Present |
| Independent Advisor Alliance | Charlotte | NC | 06/2016 | Present |
(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
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-10-10 |
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