SG
Stephen W. Gaskins
INDEPENDENT ADVISOR ALLIANCE
Wilmington, NC 28403
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CRD#: 2595932
SG
Professional summary
Stephen Wayne Gaskins, CFP®, who also goes by Steve Gaskins, is a registered financial advisor currently at INDEPENDENT ADVISOR ALLIANCE, LLC located in Wilmington, North Carolina and LPL FINANCIAL LLC located in Raleigh, North Carolina.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Estate Planning
Investment Planning
Insurance Planning
Comprehensive Financial Planni...
Retirement Planning
Tax Planning
Employee and Employer Plan Ben...
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
Aliases
Steve Gaskins
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 6/20/2016 - Gaskins Financial, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 400 Hours Per Month/6 Hours During Securities Trading - Time Spent 95%. 2. 8/1/2016 - Gaskins Financial, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 07/01/2015 - 160 Hours Per Month/140 Hours During Securities Trading. 3. 3/26/2018 - The Cason Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/01/2018 - 5 Hours Per Month/1 Hour During Securities Trading. 4. 2/19/2021 - Stekarcha Ventures, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 12/11/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 3/17/2021 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/14/2020 - 200 Hours Per Month/7 Hours During Securities Trading. 6. 7/9/2021 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Stated 12/14/2020 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 7/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's 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. 7. 9/2/2021 - Sniksag Properties, LLC - Investment Related - Wilmington, NC 29403 - Real Estate Rental - Started 08/16/2021 - 2 Hours Per Month During Securities Trading. 8. 09/16/2022 - Sage Insurance Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 08/11/2022 - 4 Hours Per Month/4 Hours During Securities Trading 9. 11/01/2023 - Shady Grove Farms, LLC - Rep's Business - Not Investment Related - 180 Shade Fisher Road, Whiteville, NC 28472 - Start Date 10/23/2023 - 8 Hours Per Month/ 0 Hours During Trading 10. 06/25/2024 - Gaskins Gibson Capital, LLC - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 6/13/2024 - 160 Hrs/Mo; 140 Hrs During Trading. 11. 07/23/2024 - Independent Advisor Alliance - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 06/25/2024 - 160 Hours Per Month/ 140 Hours During Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 7/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Wayne Gaskins's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2003
Experience
Current
December 15, 2020 - Present
INDEPENDENT ADVISOR ALLIANCE, LLC
Office #1: 2002 Eastwood Rd. Suite 302, Wilmington, NC 28403RIA
CRD#: 168267
Wilmington, NC
Current
June 20, 2016 - Present
LPL FINANCIAL LLC
Office #1: 4509 Creedmoor Rd Ste 201, Raleigh, NC 27612Office #2: 2002 Eastwood Rd, Suite 302, Wilmington, NC 28403RIA
BD
CRD#: 6413
RALEIGH, NC
Past
June 21, 2016 - December 17, 2020
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
Wilmington, NC
Past
April 28, 2015 - June 21, 2016
DAVIS WEALTH MANAGEMENT
RIA
CRD#: 150441
DURHAM, NC
Past
April 7, 2015 - April 28, 2015
INTERCAROLINA FINANCIAL SERVICES, INC.
RIA
CRD#: 19475
WILMINGTON, NC
Past
April 7, 2015 - July 12, 2016
INTERCAROLINA FINANCIAL SERVICES, INC.
BD
CRD#: 19475
GREENSBORO, NC
Past
November 5, 2009 - April 6, 2015
OLD NORTH STATE WEALTH MANAGEMENT, LLC
RIA
CRD#: 148659
WILMINGTON, NC
Past
October 23, 2009 - April 13, 2015
APW CAPITAL, INC.
BD
CRD#: 43814
WILMINGTON, NC
Past
March 18, 2005 - November 5, 2009
OLD NORTH STATE TRUST, LLC
RIA
CRD#: 106155
SILER CITY, NC
Past
January 28, 2005 - October 23, 2009
INTERCAROLINA FINANCIAL SERVICES, INC.
BD
CRD#: 19475
GREENSBORO, NC
Past
December 31, 2001 - February 15, 2005
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WILMINGTON, NC
Past
May 25, 2000 - February 15, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IA
INDEPENDENT ADVISOR ALLIANCE, LLC
AFTON WEALTH MANAGEMENT | STOCKBRIDGE WEALTH ADVISORS | STILLWATER FINANCIAL ADVISORS | STEWARD GUIDE WEALTH PARTNERS | STEPHS TWO CENTS | SPARK | SOUTHERN WEALTH ADVISORS | SOLIDA FINANCIAL | SOCRATIC BETTER WEALTH | SIXTH MAN SPORTS MANAGEMENT | SIX PILLARS FINANCIAL ADVISORS | SISLO WEALTH MANAGEMENT | SILVERROCK WEALTH MANAGEMENT | SILVER KEY WEALTH MANAGEMENT | SECOND HALF STRATEGIES | SEACOAST WEALTH MANAGEMENT | SCHMIDT FINANCIAL RESOURCES | SAGE FINANCIAL SYSTEMS | RUTLEDGE FINANCIAL PARTNERS | ROLLER WEALTH MANAGEMENT | RJ WEALTH MANAGEMENT | RIGHTIREMENT WEALTH PARTNERS | REVANT WEALTH | RETIREMENT PATH FINANCIAL | REBER INVESTMENTS | R.J. SCHRIFT PRIVATE ASSET MANAGEMENT | R.F. TOLBERT WEALTH MANAGEMENT | R.F. TOLBERT FINANCIAL GROUP | PROVENCE WEALTH MANAGEMENT GROUP | PROSPERITY WEALTH ADVISORS | PRECISION POINT WEALTH MANAGEMENT | PARADIGM WEALTH PARTNERS | PALMETTO INVESTMENT CONSULTANTS | ORINOCO CAPITAL ADVISORS | ONE TREE HILL INVESTMENT ADVISORS | NORTON FINANICAL | NORTH POINT FINANCIAL PLANNERS | NEWPORT FINANCIAL PLANNING | NEW MARKET FINANCIAL ADVISORS | MOORE & BURKHARDT WEALTH MANAGEMENT | MONEYDOVE | MOHLMAN WEALTH MANAGEMENT | MIDTOWN ADVISORS | MFP FINANCIAL SERVICES | METCAP WEALTH MANAGEMENT | METCAP | METCALF CAPITAL WEALTH MANAGEMENT | MCQUILLING FINANCIAL SERVICES, LLC | MAYNARD & ASSOCIATES WEALTH MANAGEMENT | MATT MIKOLAJEWSKI WEALTH MANAGEMENT | MATT JELNICKY, CFP | MARZANO CAPITAL GROUP | MARLINE & ASSOCIATES WEALTH MANAGEMENT | MARKEY WEALTH MANAGEMENT | M&F WEALTH MANAGEMENT | LORD WEALTH MANAGEMENT | LIVSWELL | LIBERTY POINT ADVISORS | LIBERAL INVESTING | LEGACY WEALTH MANAGEMENT | LAURIE SCHAEFFER, CRPC ® | KORNERSTONE WEALTH MANAGEMENT | KNOW MY PLAN | KNIGHT FINANCIAL PLANNING SERVICES | KING WEALTH PARTNERS | K.A. GREGORY WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JN WEALTH STRATEGIES | JEFFERY W. MASTERS & ASSOCIATES | JACKSON FINANCIAL GROUP | INVESTRA FINANCIAL SERVICES | INVESTRA | INTERGROWH FINANCIAL GROUP | INDEPENDENT ADVISOR ALLIANCE, LLC | HUTCHISON WEALTH MANAGEMENT GROUP | HOLLOWELL FINANCIAL GROUP | HMC PARTNERS | HENSLEY RETIREMENT PLANNING | HENDERSON WEALTH MANAGEMENT | HARWOOD WEALTH MANAGEMENT | HARVEY WEALTH MANAGEMENT | HARVEST WEALTH MANAGEMENT | HAGEN WEALTH MANAGEMENT | H. DEWEY THOMPSON FINANCIAL SERVICE | GRACE FINANCIAL SERVICES | GENWEALTH FINANCIAL ADVISORS | GENESIS FINANCIAL PARTNERS | GASKINS GIBSON CAPITAL | FREEMAN FINANCIAL | FREEDOM WEALTH PARTNERS | FOUNDERS PRIVATE WEALTH | FORWARD FINANCIAL GROUP | FOCUS WEALTH PLANNING | FIVESTONE FINANCIAL | FIT FINANCIAL WEALTH MANAGEMENT | FIRST COMMUNITY FINANCIAL CONSULTANTS | FAMILY WEALTH PARTNERS | FAIRVIEW STRATEGIC PLANNERS | EDMONDSON CAPITAL AND FINANCIAL PLANNING | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DU LAC WEALTH SERVICES | DOLF DUNN WEALTH MANAGEMENT | DISTINCTIVE WEALTH MANAGEMENT | DILL FINANCIAL SERVICES | DESIGNING WEALTH | DECKERT FINANCIAL | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DARPEL & HOWARD WEALTH ADVISORS | CYPRESS CAPITAL | CWL WEALTH MANAGEMENT | CURRY, MOORE & ASSOCIATES WEALTH ADVISORS | CT FINANCIAL | CROSSROADS FINANCIAL GROUP | CROSSOVER POINT ADVISORS | CRITICAL TRANSITIONS WEALTH ADVISORS | CRESCENT FINANCIAL GROUP | CREDO FINANCIAL ADVISORS | COUNCIL FAMILY OFFICE | CONNECTED WEALTH MANAGEMENT | COMPREHENSIVE PLANNING | COMPASS INVESTMENT ADVISORS, LLC | COJO BAY ADVISORS | COASTAL FINANCIAL PLANNING GROUP | CMPD12 CAPITAL | CLARIDENCE WEALTH | CHARLOTTE WEALTH ADVISORS | CHAMPION WEALTH MANAGEMENT | CFG | CERMAK-SERFASS WEALTH MANAGEMENT | CAUBLE SCHRIFT PRIVATE ASSET MANAGEMENT | CAUBLE SCHRIFT | CASTLE WEALTH PARTNERS | BUDD WEALTH MANAGEMENT | BRYANT & BOLICK FINANCIAL SERVICES | BOAN FINANCIAL GROUP | BLUEWATER FINANCIAL SERVICES | BLUEROCK INVESTMENT SERVICES | BLACKBRIDGE FINANCIAL | BEACON CAPITAL ADVISORY GROUP | BASS FINANCIAL MANAGEMENT | BARNES CAPITAL GROUP | BARNES BENEFIT CONSULTANTS | BALANCE WEALTH PARTNERS | AUDET WEALTH ADVISORS | ATLANTIC COAST WEALTH MANAGEMENT | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARMFIELD WEALTH | ALTITUDE WEALTH MANAGEMENT | ALASKA FINANCIAL ASSOCIATES...
CRD#: 168267 / SEC#: 801-78808
RIA
Registered Investment Advisory firm - (11/26/2013 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/7/2021)
RR
Florida(2/23/2021)
RR
North Carolina(6/20/2016)
IAR
North Carolina(12/15/2020)
RR
Ohio(10/13/2021)
RR
South Carolina(6/20/2016)
IAR
South Carolina(12/15/2020)
IAR
Texas(1/3/2025)
IAR
Virginia(12/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INDEPENDENT ADVISOR ALLIANCE, LLC
AFTON WEALTH MANAGEMENT | STOCKBRIDGE WEALTH ADVISORS | STILLWATER FINANCIAL ADVISORS | STEWARD GUIDE WEALTH PARTNERS | STEPHS TWO CENTS | SPARK | SOUTHERN WEALTH ADVISORS | SOLIDA FINANCIAL | SOCRATIC BETTER WEALTH | SIXTH MAN SPORTS MANAGEMENT | SIX PILLARS FINANCIAL ADVISORS | SISLO WEALTH MANAGEMENT | SILVERROCK WEALTH MANAGEMENT | SILVER KEY WEALTH MANAGEMENT | SECOND HALF STRATEGIES | SEACOAST WEALTH MANAGEMENT | SCHMIDT FINANCIAL RESOURCES | SAGE FINANCIAL SYSTEMS | RUTLEDGE FINANCIAL PARTNERS | ROLLER WEALTH MANAGEMENT | RJ WEALTH MANAGEMENT | RIGHTIREMENT WEALTH PARTNERS | REVANT WEALTH | RETIREMENT PATH FINANCIAL | REBER INVESTMENTS | R.J. SCHRIFT PRIVATE ASSET MANAGEMENT | R.F. TOLBERT WEALTH MANAGEMENT | R.F. TOLBERT FINANCIAL GROUP | PROVENCE WEALTH MANAGEMENT GROUP | PROSPERITY WEALTH ADVISORS | PRECISION POINT WEALTH MANAGEMENT | PARADIGM WEALTH PARTNERS | PALMETTO INVESTMENT CONSULTANTS | ORINOCO CAPITAL ADVISORS | ONE TREE HILL INVESTMENT ADVISORS | NORTON FINANICAL | NORTH POINT FINANCIAL PLANNERS | NEWPORT FINANCIAL PLANNING | NEW MARKET FINANCIAL ADVISORS | MOORE & BURKHARDT WEALTH MANAGEMENT | MONEYDOVE | MOHLMAN WEALTH MANAGEMENT | MIDTOWN ADVISORS | MFP FINANCIAL SERVICES | METCAP WEALTH MANAGEMENT | METCAP | METCALF CAPITAL WEALTH MANAGEMENT | MCQUILLING FINANCIAL SERVICES, LLC | MAYNARD & ASSOCIATES WEALTH MANAGEMENT | MATT MIKOLAJEWSKI WEALTH MANAGEMENT | MATT JELNICKY, CFP | MARZANO CAPITAL GROUP | MARLINE & ASSOCIATES WEALTH MANAGEMENT | MARKEY WEALTH MANAGEMENT | M&F WEALTH MANAGEMENT | LORD WEALTH MANAGEMENT | LIVSWELL | LIBERTY POINT ADVISORS | LIBERAL INVESTING | LEGACY WEALTH MANAGEMENT | LAURIE SCHAEFFER, CRPC ® | KORNERSTONE WEALTH MANAGEMENT | KNOW MY PLAN | KNIGHT FINANCIAL PLANNING SERVICES | KING WEALTH PARTNERS | K.A. GREGORY WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JN WEALTH STRATEGIES | JEFFERY W. MASTERS & ASSOCIATES | JACKSON FINANCIAL GROUP | INVESTRA FINANCIAL SERVICES | INVESTRA | INTERGROWH FINANCIAL GROUP | INDEPENDENT ADVISOR ALLIANCE, LLC | HUTCHISON WEALTH MANAGEMENT GROUP | HOLLOWELL FINANCIAL GROUP | HMC PARTNERS | HENSLEY RETIREMENT PLANNING | HENDERSON WEALTH MANAGEMENT | HARWOOD WEALTH MANAGEMENT | HARVEY WEALTH MANAGEMENT | HARVEST WEALTH MANAGEMENT | HAGEN WEALTH MANAGEMENT | H. DEWEY THOMPSON FINANCIAL SERVICE | GRACE FINANCIAL SERVICES | GENWEALTH FINANCIAL ADVISORS | GENESIS FINANCIAL PARTNERS | GASKINS GIBSON CAPITAL | FREEMAN FINANCIAL | FREEDOM WEALTH PARTNERS | FOUNDERS PRIVATE WEALTH | FORWARD FINANCIAL GROUP | FOCUS WEALTH PLANNING | FIVESTONE FINANCIAL | FIT FINANCIAL WEALTH MANAGEMENT | FIRST COMMUNITY FINANCIAL CONSULTANTS | FAMILY WEALTH PARTNERS | FAIRVIEW STRATEGIC PLANNERS | EDMONDSON CAPITAL AND FINANCIAL PLANNING | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DU LAC WEALTH SERVICES | DOLF DUNN WEALTH MANAGEMENT | DISTINCTIVE WEALTH MANAGEMENT | DILL FINANCIAL SERVICES | DESIGNING WEALTH | DECKERT FINANCIAL | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DARPEL & HOWARD WEALTH ADVISORS | CYPRESS CAPITAL | CWL WEALTH MANAGEMENT | CURRY, MOORE & ASSOCIATES WEALTH ADVISORS | CT FINANCIAL | CROSSROADS FINANCIAL GROUP | CROSSOVER POINT ADVISORS | CRITICAL TRANSITIONS WEALTH ADVISORS | CRESCENT FINANCIAL GROUP | CREDO FINANCIAL ADVISORS | COUNCIL FAMILY OFFICE | CONNECTED WEALTH MANAGEMENT | COMPREHENSIVE PLANNING | COMPASS INVESTMENT ADVISORS, LLC | COJO BAY ADVISORS | COASTAL FINANCIAL PLANNING GROUP | CMPD12 CAPITAL | CLARIDENCE WEALTH | CHARLOTTE WEALTH ADVISORS | CHAMPION WEALTH MANAGEMENT | CFG | CERMAK-SERFASS WEALTH MANAGEMENT | CAUBLE SCHRIFT PRIVATE ASSET MANAGEMENT | CAUBLE SCHRIFT | CASTLE WEALTH PARTNERS | BUDD WEALTH MANAGEMENT | BRYANT & BOLICK FINANCIAL SERVICES | BOAN FINANCIAL GROUP | BLUEWATER FINANCIAL SERVICES | BLUEROCK INVESTMENT SERVICES | BLACKBRIDGE FINANCIAL | BEACON CAPITAL ADVISORY GROUP | BASS FINANCIAL MANAGEMENT | BARNES CAPITAL GROUP | BARNES BENEFIT CONSULTANTS | BALANCE WEALTH PARTNERS | AUDET WEALTH ADVISORS | ATLANTIC COAST WEALTH MANAGEMENT | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARMFIELD WEALTH | ALTITUDE WEALTH MANAGEMENT | ALASKA FINANCIAL ASSOCIATES...
CRD#: 168267 / SEC#: 801-78808
RIA
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Contact information
Main Address
11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277
Mailing Address
Phone number
(888) 430-1555
Established
Firm type
Fiscal year end
# of Employees
283
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54,861 |
| AUM (Assets Under Management) | $ 14,074,143,679 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INDEPENDENT ADVISOR ALLIANCE, LLC
CRD#: 168267Wilmington, NC 28403TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
