INTEGRATED INVESTMENT STRATEGIES,INC. of CARMEL, IN is an SEC-registered investment adviser (CRD 122706). Regulatory assets under management: $104.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Other.
Clients served: Individuals, High net worth, Other.
| Name | Role | Location |
|---|---|---|
| Daniel Lubs | PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-05-08 | regulatory | IIS AGREED TO PAY A CIVIL PENALTY OF $1500 FOR FAILING TO FILE ITS FORM ADV BY ITS DEADLINE OF MARCH 31, 2019. | Final | $2K |
| 2019-05-08 | regulatory | IIS AGREED TO PAY A CIVIL PENALTY OF $1500 FOR FAILING TO FILE ITS FORM ADV BY ITS MARCH 31, 2019 DEADLINE. | Final | $2K |
| 2018-07-17 | regulatory | THE REQUIRED QUESTIONNAIRE WAS NOT FILED FOR 2018. | Final | $2K |
| 2018-07-17 | regulatory | IIS AGREED TO PAY A CIVIL PENALTY OF $1500 FOR FAILING TO FILE ITS REQUIRED QUESTIONNAIRE BY THE STATED DEADLINE OF MARCH, 31, 2018. | Final | $2K |