Carl Lee Thompson

Employer firm

Independent Advisor Alliance, LLC CRD 168267

$17.2B regulatory AUM 533 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2011 → Present
  Lpl Financial, Llc
  Houston, TX
• 06/2012 → 11/2018
  Independant Financial Partners
  Seabrook, TX
• 11/2018 → Present
  Independent Advisor Alliance, Llc
  Houston, TX

Previous Registrations

• 2012-04-02 → 2018-11-23
  Independent Financial Partners
  Dickinson, TX
  Seabrook, TX
  Houston, TX
• 1985-06-25 → 2011-08-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  Houston, TX

Other Businesses

1. 9/8/2011 - THOMPSON WEALTH MANAGEMENT, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 6/15/2012 - Independant Financial Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Time Spent 50%. 3. 2/11/2014 - Independant Financial Partners - DBA: Hybrid-Thompson Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Time Spent 50% - Provide financial advice for professional management. 4. 12/4/2018 - Independent Advisor Alliance - DBA: (Hybrid) Thompson Wealth Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 11/26/2018 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 11/28/2018. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms 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. 5. 12/11/2018 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 11/26/2018 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 11/28/2018. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms 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.

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-06-18

Other Names

• Lee Thompson