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Detailed Report
CARL LEE THOMPSON
LEE THOMPSON
CRD#: 1373253
IA
Investment Adviser
B
Broker
INDEPENDENT ADVISOR ALLIANCE, LLCCRD#: 168267 1120 Nasa Parkway
Suite 210
Houston, TX 77058
LPL FINANCIAL LLCCRD#: 6413 1120 NASA PARKWAY, STE 210
HOUSTON, TX 77058
Registration History
19801985199019952000200520102015202020252 FIRMS1985 - 2011 (26 years)IAINDEPENDENT ADVISOR ALLIANCE, LLC (CRD# 168267)2018 - Present (6 years)BLPL FINANCIAL LLC (CRD# 6413)2011 - Present (13 years)IAINDEPENDENT FINANCIAL PARTNERS (CRD# 125112)2012 - 2018 (6 years)IALPL FINANCIAL LLC (CRD# 6413)2011 - 2013 (1 year)
Disclosure(s)
View By:
12/31/2002
Customer Dispute
Denied
3/13/1978
Criminal
Final Disposition
License(s)

State Registrations

IA
Louisiana 4/15/2020
B
Ohio 4/11/2012
B
Louisiana 4/17/2020
B
Texas 8/25/2011
B
New York 9/21/2011
IA
Texas 11/27/2018
B
North Carolina 10/21/2019
B
Vermont 9/15/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
INDEPENDENT ADVISOR ALLIANCE, LLC (CRD#:168267)
1120 Nasa Parkway Suite 210, Houston, TX 77058
Registered with this firm since 11/27/2018
B
LPL FINANCIAL LLC (CRD#:6413)
1120 NASA PARKWAY, STE 210, HOUSTON, TX 77058
Registered with this firm since 8/25/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2012 - 11/23/2018 INDEPENDENT FINANCIAL PARTNERS (CRD#:125112) HOUSTON, TX
IA
 09/15/2011 - 03/28/2013 LPL FINANCIAL LLC (CRD#:6413) DICKINSON, TX
IA
 06/25/1985 - 08/26/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
 05/24/1985 - 08/26/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.