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Employer firm

Integrity Alliance, LLC. CRD 139627

$5.41B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Integrity Alliance, Llc.

4135 Nw Urbandale Dr, Urbandale, IA 50322 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2020-07-06
  • PA RA
    APPROVED
    Since 2020-07-06

Branch Locations

90 S Newtown Street Rd Suite 3, Newtown Square, PA 19073 • United States

4135 Nw Urbandale Dr, Urbandale, IA 50322 • USA

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Nationwide Securities, Llc Newtown Square PA 08/2008 07/2020
Nationwide Newtown Sq PA 08/2008 07/2020
Integrity Alliance, Llc Newtown Square PA 07/2020 Present
Previous Registrations
  • 2008-08-01 → 2020-07-01
    Newtown Sq, PA
    Radnor, PA
    Newtown Square, PA
  • 2002-06-12 → 2008-08-01
    1717 Capital Management Company
    Berwyn, PA
    Radnor, PA
Other Businesses

Bruno Financial Services LLC; Securities related; 116 Stoney Brook Blvd, Newtown Square, PA 19073; DBA for Securities and insurance; Owner; Started 7/1/2020; 40 hours per month, 40 hours during trading; Sales and service of investments and insurance products Fixed life insurance; Not securities related; 116 Stoney Brook Blvd, Newtown Square, PA 19073; Selling fixed and life insurance; Insurance agent; Started 1/1/1993; 120 hour per month, 120 during trading; Sales and service of fixed insurance products

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-02
S63 Uniform Securities Agent State Law Examination 1993-08-06
  • S65 Uniform Investment Adviser Law Examination
    1998-02-02
  • S63 Uniform Securities Agent State Law Examination
    1993-08-06

View on SEC IAPD

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