MY
Michael S. York
INDEPENDENT ADVISOR ALLIANCE
RALEIGH, NC 27609
Some features on this profile are disabled
CRD#: 3147888
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Professional summary
Michael Sheridan York, AIF® is a registered financial advisor currently at INDEPENDENT ADVISOR ALLIANCE, LLC located in Raleigh, North Carolina and LPL FINANCIAL LLC located in Raleigh, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 11 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) 06/25/2013: BLACKBRIDGE FINANCIAL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - At Reported Business Location(s) (2) 08/13/2015: INDEPENDENT ADVISOR ALLIANCE - REGISTERED INVESTMENT ADVISOR HYBRID - (Hybrid) Independent Advisor Alliance - INV REL - At Reported Business Location(s) - Start 05/01/2015 - 30 Hr/Mo; 30 Hours During Securities Trading (3) 07/25/2016: Blackbridge Financial located at Mechanics and Farmers Bank - DBA for LPL Business (entity for LPL business) - Blackbridge Financial located at Mechanics and Far - INV REL - 2634 Durham-Chapel Hill Blvd # 101, Durham, NC 27707 - Start 07/19/2016 - I have relation ship with M&F Bank and wish to use their bank logo in conjunction with my own DBA name Blackbridge Financial. Yes, the bank employs non-securities licensed with LPL. I do not share office space. - 0 Hr/Mo (4) 03/13/2018 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 04/01/2015 - 30 Hours Per Month/30 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity on 3/13/2018. I expect to spend approximately 30 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) 04/08/2024 - Milner Insurance, All United Insurance, Highland Capital Brokerage, The Cason Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/01/2014 - 4 Hours Per Month/2 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Sheridan York'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®
Experience
Current
April 6, 2015 - Present
INDEPENDENT ADVISOR ALLIANCE, LLC
Office #1: 4005 Cardigan Place, Raleigh, NC 27609RIA
CRD#: 168267
RALEIGH, NC
Current
June 1, 2012 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
RALEIGH, NC
Past
February 20, 2015 - April 6, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
RALEIGH, NC
Past
June 1, 2012 - February 18, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
RALEIGH, NC
Past
April 11, 2012 - May 21, 2012
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
RALEIGH, NC
Past
April 5, 2012 - May 10, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
RALEIGH, NC
Past
January 18, 2011 - March 15, 2012
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
RALEIGH, NC
Past
January 18, 2011 - March 15, 2012
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
RALEIGH, NC
Past
September 6, 2006 - January 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RALEIGH, NC
Past
September 6, 2006 - January 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RALEIGH, NC
Past
February 25, 2004 - April 26, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
RALEIGH, NC
Past
February 25, 2004 - April 26, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
RALEIGH, NC
Past
June 21, 2002 - September 10, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
RALEIGH, NC
Past
June 15, 2002 - September 10, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
December 8, 1999 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
BD
CRD#: 41727
CHARLOTTE, NC
Past
October 28, 1999 - June 21, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
RIA
CRD#: 41727
RALEIGH, NC
Past
June 1, 1999 - October 29, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 1, 1999 - October 29, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
California(2/11/2025)
RR
Florida(1/25/2022)
RR
North Carolina(6/1/2012)
IAR
North Carolina(4/6/2015)
RR
Ohio(3/9/2021)
RR
South Carolina(6/18/2020)
RR
Virginia(6/1/2012)
Exams
State Security Law Exam
General Industry/Product 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#: 168267Raleigh, NC 27609TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
