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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

STEPHEN WAYNE GASKINS

Advisor at INDEPENDENT ADVISOR ALLIANCE, LLC

Wilmington, NC

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Search this name across graphsid dfx:ria:517c98d4-6e33-b277-c0df-c09e4d7a50c5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Dec 31, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT ADVISOR ALLIANCE, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 26, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 4
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jun 26, 2000
First registration: Dec 31, 2001
Dual registered: yes, broker-dealer
Other names: STEVE GASKINS
IAPD individual key: 2595932

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT ADVISOR ALLIANCE, LLC	Independent wealth	Dec 15, 2020	n/a	yes	Wilmington, NC	Current employment
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Jun 21, 2016	Dec 17, 2020	no	WILMINGTON, NC\|Wilmington, NC	Previous registration
DAVIS WEALTH MANAGEMENT	Former SEC adviser	Apr 28, 2015	Jun 21, 2016	no	DURHAM, NC	Previous registration
INTERCAROLINA FINANCIAL SERVICES, INC.	Independent wealth	Apr 7, 2015	Apr 28, 2015	no	WILMINGTON, NC\|GREENSBORO, NC\|GREENSBORO, NC	Previous registration
OLD NORTH STATE WEALTH MANAGEMENT, LLC	Independent wealth	Nov 5, 2009	Apr 6, 2015	no	WILMINGTON, NC\|WILMINGTON, NC	Previous registration
OLD NORTH STATE TRUST, LLC	Former SEC adviser	Mar 18, 2005	Nov 5, 2009	no	SILER CITY, NC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 31, 2001	Feb 15, 2005	no	WILMINGTON, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STRATOS WEALTH PARTNERS, LTD	INDEPENDENT ADVISOR ALLIANCE, LLC	Dec 17, 2020	Dec 15, 2020	-2	Firm change	Ibd to RIA
DAVIS WEALTH MANAGEMENT	STRATOS WEALTH PARTNERS, LTD	Jun 21, 2016	Jun 21, 2016	0	Firm change	Other
INTERCAROLINA FINANCIAL SERVICES, INC.	DAVIS WEALTH MANAGEMENT	Apr 28, 2015	Apr 28, 2015	0	Firm change	Other
OLD NORTH STATE WEALTH MANAGEMENT, LLC	INTERCAROLINA FINANCIAL SERVICES, INC.	Apr 6, 2015	Apr 7, 2015	1	Firm change	Other
OLD NORTH STATE TRUST, LLC	OLD NORTH STATE WEALTH MANAGEMENT, LLC	Nov 5, 2009	Nov 5, 2009	0	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	OLD NORTH STATE TRUST, LLC	Feb 15, 2005	Mar 18, 2005	31	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
153184:168267:NC:2020-12-17	Dec 17, 2020	Dec 15, 2020	WILMINGTON, NC	Firm change

Relationships

Registered with (7)

→ INDEPENDENT ADVISOR ALLIANCE, LLCRegistered adviserregistration: current employment
Dec 15, 2020 to presentfactForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
Jun 21, 2016 to Dec 17, 2020factForm ADV
→ DAVIS WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Apr 28, 2015 to Jun 21, 2016factForm ADV
→ INTERCAROLINA FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 7, 2015 to Apr 28, 2015factForm ADV
→ OLD NORTH STATE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 5, 2009 to Apr 6, 2015factForm ADV
→ OLD NORTH STATE TRUST, LLCRegistered adviserregistration: previous registration
Mar 18, 2005 to Nov 5, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 31, 2001 to Feb 15, 2005factForm ADV

Dated events

No dated event names this entity yet.