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11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-04-14 |
Branch Locations
2625 Neudorf Road Suite 400, Clemmons, NC 27012 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Davie Subways Inc | Advance | NC | 06/2005 | 08/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/2017 | 01/2020 |
| Northwestern Mutual Investment Services Llc | Winston Salem | NC | 04/2018 | 01/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 12/2018 | 01/2020 |
| Lpl Financial, Llc | Clemmons | NC | 01/2020 | Present |
| Independent Advisor Alliance, Llc | Clemmons | NC | 05/2015 | Present |
1. 1/23/2020 - Marzano Capital Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 2/4/2020 - Independent Advisor Alliance - DBA: (Hybrid) Marzano Capital Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Licensed Admin. - Started 05/2015 - 40 Hours Per Month - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 02/2020. 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. 2/4/2020 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 05/2015 - 40 Hours Per Month - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 02/2020. 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 2018-09-28 |
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