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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-08-21 |
Branch Locations
W 248 N 5233 Executive Drive Suite 500, Sussex, WI 53089 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 06/2017 | 11/2017 |
| University Of Wisconsin Whitewater | Whitewater | WI | 09/2014 | 05/2017 |
| University Of Wisconsin Whitewater | Whitewater | WI | 08/2015 | 05/2017 |
| Business Development Directives | Eagle | WI | 05/2016 | 06/2017 |
| Lpl Financial, Llc | Brookfield | WI | 01/2018 | 03/2019 |
| Freedom Wealth Alliance | Brookfield | WI | 02/2018 | 03/2019 |
| Charles Schwab & Co., Inc. | Brookfield | WI | 03/2019 | 01/2024 |
| Charles Schwab Bank Ssb | Brookfield | WI | 03/2019 | 01/2024 |
| Spectrum Investment Advisors, Inc. | Mequon | WI | 01/2024 | 08/2025 |
| Lpl Financial | Sussex | WI | 08/2025 | Present |
| Independent Advisor Alliance | Charlotte | NC | 08/2025 | Present |
1. 08/20/2025 - Forward Financial Group - DBA for LPL Business (entity for LPL business) - investment Related - At Reported business location(s) - OBA Start Date: 07/22/2025 - 160 Hour(s)/Month - 8 Hour(s) During Trading 2. 08/28/2025 - Independent Advisor Alliance, LLC - Registered Investment Advisor Hybrid - investment Related - At Reported business location(s) - OBA Start Date: 07/22/2025 - 160 Hour(s)/Month - 8 Hour(s) During Trading . I provide investment advisory services through Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity in 7/2025. 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. 08/28/2025 - Forward Financial Group - Registered Investment Advisor DBA - investment Related - At Reported business location(s) - OBA Start Date: 07/22/2025 - 160 Hour(s)/Month - 8 Hour(s) During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-02 |
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