Best Investors
Account
Sign in
Best Investors
Account
Sign in
11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2017-09-07 |
Branch Locations
2301 Sun Valley Drive Suite 202, Delafield, WI 53018 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Delafield | WI | 12/1998 | 09/2017 |
| Various Insurance Carriers For W&R Insurance Agencies | Oconomowoc | WI | 03/1999 | 09/2017 |
| Lpl Financial, Llc | Delafield | WI | 09/2017 | Present |
| Independent Advisor Alliance, Llc | Delafield | WI | 09/2017 | Present |
1. 9/7/2017 - One Tree Hill Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/30/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 10/3/2017 - Independent Advisor Alliance - DBA: One Tree Hill Investment Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 08/30/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 10/3/2017. 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. 3. 10/3/2017 - Independent Advisor Alliance (IAA) - DBA: (Hybrid) Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/30/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 10/3/2017. 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-08-17 |
Reach out to this advisor