INTEGRITY ALLIANCE, LLC of URBANDALE, IA is an SEC-registered investment adviser (CRD 139627). Regulatory assets under management: $5.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Belma Mujdzic | CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER; OPERATIONS DIRECTOR | — |
| Brian Edward Aukes | PRESIDENT | — |
| Andrea K Baker | CHIEF FINANCIAL OFFICER/FINOP | — |
| Andrew Allen Osby | CHIEF INVESTMENT OFFICER | — |
| Carie Marie Heckler | CHIEF COMPLIANCE OFFICER | — |
| Christopher Aaron Merla | HEAD OF OPERATIONS | — |
| PROPES BRIAN CLINTON | PRESIDENT/CHIEF MARKETING OFFICER | — |
| BOTT MATTHEW RAY | MANAGING MEMBER/PRESIDENT/CHIEF MARKETING OFFICER; MANAGING MEMBER/PRESIDENT/CHIEF OPERATIONS OFFICER; PRESIDENT/CHIEF OPERATIONS OFFICER | — |
| MCCARTY ROGER HORNSBY | TRUSTEE | — |
| STAPP GARY ALAN | CHIEF COMPLIANCE OFFICER; CHIEF MARKETING OFFICER | — |
| KEMBLE ANDREA K | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/FINOP | — |
| BABCOCK JODY ANN | FINANCIAL OPERATIONS PRINCIPAL | — |
| HUDSON ANN LOUISE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER | — |
| MCCARTY JANE LINDSEY | TRUSTEE | — |
| AUKES BRIAN EDWARD | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| KUNKEL JOHN CHARLES | CHIEF COMPLIANCE OFFICER | — |
| HENRY DAVID ALAN | FINOP | — |
| MUJDZIC BELMA | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER | — |
| OSBY ANDREW ALLEN | CHIEF INVESTMENT OFFICER | — |
| BAKER ANDREA K | CHIEF FINANCIAL OFFICER/FINOP | — |
| Michelle Renee Stockman | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-11-15 | regulatory | THE FIRM WAS ORDER TO CEASE AND DESIST: IS CENSURED; AND SHALL PAY DISGORGEMENT OF $14,899.55, PREJUDGMENT INTEREST OF $3,683.32, AND A CIVIL MONEY PENALTY OF $135,000 TO THE SEC | Final | $135K |
| 2023-05-05 | regulatory | VIOLATION OF FINRA RULES 3110 AND 2010. | Final | $30K |
| 2016-07-26 | regulatory | VIOLATION OF FINRA RULES 2330(B),2330(C), AND 2010. | Final | $45K |
| — | regulatory | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| OMAHA | NE | 11 | 4023346282 |
| FARMINGTON | CT | 11 | 8606760260 |
| SAN RAMON | CA | 8 | 9252715780 |
| WACO | TX | 4 | 2543990212 |
| BELLEVUE | WA | 4 | 4257493300 |
| GREEN BAY | WI | 4 | 920-347-9888 |
| PALM BEACH GARDENS | FL | 3 | 561.425.7360 |
| WEST DES MOINES | IA | 3 | (515) 644-7700 |
| PEACHTREE CITY | GA | 3 | 404-414-6814 |
| BOISE | ID | 2 | 208-898-9722 |
| FRESNO | CA | 2 | 559-400-8710 |
| PLATTEVILLE | WI | 2 | 608.348.4321 |
| CORAL SPRINGS | FL | 2 | 515-457-8131 |
| TYLER | TX | 2 | 9035338585 |
| OMAHA | NE | 2 | 402-502-6900 |