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4135 Nw Urbandale Dr, Urbandale, IA 50322 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-11-03 |
Branch Locations
600 S Washington St Ste 100A, Naperville, IL 60540 • United States
300 Colorado St Ste 2600, Austin, TX 78701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wayne Hummer | Chicago | IL | 10/2010 | 08/2017 |
| Lion Street Financial | Naperville | IL | 08/2017 | Present |
| Lion Street Advisors | Naperville | IL | 08/2017 | Present |
| Integrity Alliance, Llc. | Naperville | IL | 11/2025 | Present |
| Integrity Alliance, Llc. | Naperville | IL | 11/2025 | Present |
THIRSTY BOOTS BAND POSITION: Singer/Songwriter NATURE: Music performance. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2014 ADDRESS: 3707 Queen Elizabeth Ct., St. Charles IL 60174, United States DESCRIPTION: Singer DOCK 5 POSITION: Owner NATURE: Allocate Revenue and Expenses for my partnership; Refined Strategies. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/26/2018 ADDRESS: 3707 Queen Elizabeth Ct., St. Charles IL 60174, United States DESCRIPTION: Allocate Expenses and Revenue for Partnership; Refined Strategies. REFINED STRATEGIES POSITION: Wealth Advisor, Co-Founder NATURE: Financial Consulting. INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 200 START DATE: 01/01/2024 ADDRESS: 600 S. Washington Street, Ste. 100A, Naperville IL 60540, United States DESCRIPTION: Wealth Advisor providing financial solutions including securities sales as well as Lines of insurance(Life accident and health)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-08 |
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