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Integrity Alliance, LLC. CRD 139627
$5.41B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
4135 Nw Urbandale Dr, Urbandale, IA 50322 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2025-11-03 |
Branch Locations
4135 Nw Urbandale Dr, Urbandale, IA 50322 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Prudential Insurance Company Of America | Vienna | VA | 10/2014 | 01/2021 |
| Pruco Securities, Llc | Vienna | VA | 10/2014 | 01/2021 |
| Lion Street Financial | Springfield | VA | 02/2021 | 11/2025 |
| Lion Street Advisors | Springfield | VA | 02/2021 | 11/2025 |
| Integrity Alliance, Llc. | Beaufort | SC | 11/2025 | Present |
| Income & Estate Planning Llc | Beaufort | SC | 05/2026 | Present |
1) INCOME & ESTATE PLANNING LLC POSITION: Owner NATURE: Income and Estate Planning LLC is a financial services firm that provides comprehensive financial planning, estate planning, retirement income planning, and business exit/succession planning services to individuals and business owners. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 05/15/2026 ADDRESS: 4 Lucy Creek Dr., Beaufort SC 29907, United States DESCRIPTION: As the owner and principal advisor of Income and Estate Planning LLC, I provide comprehensive financial planning, estate and legacy planning, retirement income strategies, and business exit/succession planning services to individual and business-owner clients. This includes meeting with clients to assess their financial goals, developing customized plans, recommending appropriate insurance and investment solutions (all securities and advisory services offered through Integrity Alliance, LLC), and ongoing client relationship management.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 2013-10-21 |
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