• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ERNEST William ROSS III
ERNEST W ROSS, ERNEST WILLIAM ROSS III, ERNEST WILLIAM ROSS, ERNEST ROSS, WILL ERNEST ROSS III…
CRD#: 5154373
IA
Investment Adviser
B
Broker
INDEPENDENT ADVISOR ALLIANCE, LLCCRD#: 168267 11215 N. Community House Drive
Suite 775
Charlotte, NC 28277
LPL FINANCIAL LLCCRD#: 6413 CHARLOTTE, NC
Registration History
200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2011 - 2013 (2 years)2 FIRMS2014 - 2017 (2 years)2 FIRMS2017 - 2022 (5 years)2 FIRMS2022 - Present (2 years)BE*TRADE SECURITIES LLC (CRD# 29106)2006 - 2008 (1 year)IAHAYDEN HARPER ADVISORY, LLC (CRD# 152091)2010 - 2010 (<1 year)
License(s)

State Registrations

B
Alabama 9/13/2022

B
Nevada 9/1/2022

B
Delaware 9/1/2022

B
North Carolina 9/1/2022

B
Florida 11/9/2022

IA
North Carolina 9/6/2022

B
Georgia 9/1/2022

B
South Carolina 9/1/2022

IA
Georgia 9/9/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
INDEPENDENT ADVISOR ALLIANCE, LLC (CRD#:168267)
11215 N. Community House Drive Suite 775, Charlotte, NC 28277
Registered with this firm since 9/6/2022

B
LPL FINANCIAL LLC (CRD#:6413)
CHARLOTTE, NC
11215 N COMMUNITY HOUSE ROAD SUITE 775, CHARLOTTE, NC 28277
Registered with this firm since 9/1/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/23/2017 - 09/02/2022 FIFTH THIRD SECURITIES, INC. (CRD#:628) AUGUSTA, GA
B
03/23/2017 - 09/02/2022 FIFTH THIRD SECURITIES, INC. (CRD#:628) AUGUSTA, GA
IA
05/01/2014 - 03/23/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
B
05/01/2014 - 03/23/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
IA
06/20/2011 - 10/04/2013 ADVISORS ASSET MANAGEMENT, INC. (CRD#:46727) CHARLOTTE, NC
B
06/20/2011 - 10/04/2013 ADVISORS ASSET MANAGEMENT, INC. (CRD#:46727) CHARLOTTE, NC
IA
05/13/2010 - 09/17/2010 HAYDEN HARPER ADVISORY, LLC (CRD#:152091) CHARLOTTE, NC
IA
11/11/2008 - 06/26/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHARLOTTE, NC
B
05/09/2008 - 06/26/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHARLOTTE, NC
B
09/29/2006 - 05/02/2008 E*TRADE SECURITIES LLC (CRD#:29106) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.