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Current Employers
Independent Advisor Alliance, Llc

11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-08
FL RA APPROVED 2018-03-13
OH RA APPROVED 2017-10-23
  • TX RA
    APPROVED_RES
    Since 2020-01-08
  • FL RA
    APPROVED
    Since 2018-03-13
  • OH RA
    APPROVED
    Since 2017-10-23

Branch Locations

448 1/2 Main St Suite 203, Coshocton, OH 43812 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2018-09-24
  • OH RA
    APPROVED
    Since 2018-09-24

Branch Locations

448 1/2 Main Street, Ste. 203, Coshocton, OH 43812 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cfd Investments, Inc. Kokomo IN 04/2004 10/2017
Creative Financial Designs, Inc. Kokomo IN 04/2004 10/2017
H Dewey Thompson Financial Services Coshocton OH 03/2007 Present
Lpl Financial Llc Coshocton OH 10/2017 Present
Independent Advisor Alliance Coshocton OH 10/2017 Present
  • 04/2004 → 10/2017
    Cfd Investments, Inc.
    Kokomo, IN
  • 04/2004 → 10/2017
    Kokomo, IN
  • 03/2007 → Present
    H Dewey Thompson Financial Services
    Coshocton, OH
  • 10/2017 → Present
    Coshocton, OH
  • 10/2017 → Present
    Independent Advisor Alliance
    Coshocton, OH
Previous Registrations
Other Businesses

1) 10/23/2017 - H. DEWEY THOMPSON FINANCIAL SERVICE - DBA for IAA and LPL Business - H. DEWEY THOMPSON FINANCIAL SERVICE - inv rel - at reported business location(s) - start: 10/2017 - 160 hr/mth 2) 10/23/2017 - J & D CR 6, LTD - Real Estate Rental - inv rel - Coshocton, OH - start: 09/2017 - 1 hr/mth 3) 10/23/2017 - MUSKINGUM VALLEY ROD & GUN CLUB - Real Estate Rental. Managing Partner - inv rel - Coshocton County, OH 4) 11/14/2017 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/09/2017 - 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 11/14/2017. 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. 5) 10/2/2018 - Independent Advisor Alliance - DBA: (Hybrid) H. DEWEY THOMPSON FINANCIAL SERVICE - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 10/09/2017 - 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 10/2/2018. 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. 6) 11/03/2022 - H Dewey Thompson - Investment Related - At Reported Business Location(s) - Insurance Agency - servicing Agent - Start Date - 01/01/2023 - 7 Hours Per Month/6 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-31
S63 Uniform Securities Agent State Law Examination 1996-08-29
  • S66 Uniform Combined State Law Examination
    2008-03-31
  • S63 Uniform Securities Agent State Law Examination
    1996-08-29
Other Names
  • Dewey H Thompson

View on SEC IAPD

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