Adviser and broker representative · Independent Advisor Alliance, LLC
Kenneth A. Putnam
CRD 5804010 · Cornelius, NC
At a glance
Kenneth A. Putnam is an investment adviser representative with Independent Advisor Alliance, LLC in Cornelius, NC, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Kenneth’s SEC record dates to 2012, about 14 years ago. Kenneth is also registered as a broker representative. Designations on file: Certified Financial Planner.
Current advisory firm
- Independent Advisor Alliance, LLCSince October 2017Cornelius, NC · $17B in regulatory assets
SEC adviser record
- Registered since
- 2012 (14 years)
- Designations
- Certified Financial Planner
- Exams
- Series 66
- Registered in
- 4 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Kenneth’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.