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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 | 2023-01-09 |
| SC | RA | APPROVED | 2023-01-05 |
| PA | RA | APPROVED | 2023-01-04 |
| IL | RA | APPROVED | 2022-01-11 |
| IN | RA | APPROVED | 2022-01-10 |
| FL | RA | APPROVED | 2019-01-04 |
| GA | RA | APPROVED | 2019-01-02 |
| WI | RA | APPROVED | 2018-12-14 |
| CA | RA | APPROVED | 2018-12-13 |
| MI | RA | APPROVED | 2018-12-13 |
| OH | RA | APPROVED | 2018-12-13 |
| TX | RA | APPROVED | 2018-12-13 |
Branch Locations
630 Kenmoor Avenue Southeast Suite 202, Grand Rapids, MI 49546 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Grand Rapids | MI | 07/2011 | Present |
| Independent Financial Partners | Grand Rapids | MI | 08/2017 | 12/2018 |
| Independent Advisor Alliance, Llc | Grand Rapids | MI | 12/2018 | Present |
1. 07/11/2011 - Dawes Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/3/2019 - Independent Advisor Alliance - DBA: (Hybrid) Dawes Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 12/12/2018 - 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 1/3/2019. 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. 1/3/2019 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 12/12/2018 - 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 1/3/2019. 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 |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-16 |
| S66 | Uniform Combined State Law Examination | 1999-07-10 |
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