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Carl Lee Thompson

Independent Advisor Alliance, LLC

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About Carl Lee Thompson

Carl Lee Thompson is a registered investment advisor representative with Independent Advisor Alliance, LLC. Carl has been in the financial services industry since 1985. Carl is registered in Louisiana, Texas, New York, North Carolina, Ohio and Vermont. Carl offers financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, portfolio management for businesses and portfolio management for individuals.

Firm Information

Carl Thompson is currently registered with Independent Advisor Alliance, LLC. Independent Advisor Alliance, LLC is a registered investment advisor based in Charlotte, NC. The firm manages approximately $1 billion to $10 billion in assets for a diverse clientele, including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. Independent Advisor Alliance provides financial planning, portfolio management, and pension consulting services.
Independent Advisor Alliance, LLC

11215 N. COMMUNITY HOUSE RD.

CHARLOTTE, NC 28277

$12.83B

Assets Under Management

68

Total Clients

242

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carl Thompson’s Registration & Firm History

TX

11/29/2018 - Present

Independent Advisor Alliance, LLC (Houston TX)

TX

05/24/1985 - 08/26/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)

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Licenses & Designations

BC

Issued 06/18/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/15/2004

Series 31 - Futures Managed Funds Examination

BC

Issued 05/18/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Carl Lee Thompson. Review regulatory record here.
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