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Stuart Ray Gardner Jr

Investment Adviser Representative at INDEPENDENT ADVISOR ALLIANCE, LLC

Charlotte, NCCRD #1157748Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
43 yrs
States Registered
14 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 14 states
CaliforniaColoradoDistrict of ColumbiaFloridaGeorgiaMaineNew JerseyNew MexicoNorth CarolinaPennsylvaniaSouth CarolinaTennesseeTexasVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/1/1995
Series 63
Uniform Securities Agent State Law Examination
Passed 7/22/1983
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 8/26/2005
Series 7
General Securities Representative Examination
Passed 7/16/1983
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/16/2002
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/15/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.02
Source

Independent Advisor Alliance, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

INDEPENDENT ADVISOR ALLIANCE, LLCCurrent
4/29/2026Charlotte, NC
CHARLOTTE WEALTH MANAGEMENT, LLC
1/28/20215/15/2026Charlotte, NC
LPL FINANCIAL LLC
4/8/20091/28/2021Matthews, NC
SECURITIES AMERICA ADVISORS, INC.
3/31/20094/13/2009Charlotte, NC
AMERIPRISE ADVISOR SERVICES, INC.
1/5/20043/31/2009Charlotte, NC
WACHOVIA SECURITIES, LLC
12/31/20011/14/2004Charlotte, NC

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stuart Ray Gardner Jr has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Stuart Ray Gardner Jr - Financial Advisor in Charlotte, NC | AdvisorFinder