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 | — | — | — |