LT
Larry J. Tolbert
CSENGE ADVISORY GROUP
Memphis, TN 38119
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CRD#: 1054714
LT
Larry Jefferson TolbertCSENGE ADVISORY GROUP
Professional summary
Larry Jefferson Tolbert is a registered financial advisor currently at CSENGE ADVISORY GROUP, LLC located in Memphis, Tennessee and INTEGRITY ALLIANCE, LLC. located in Memphis, Tennessee.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Larry has worked at 17 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)DBA RADIAN PARTNERS LLC POSITION: Owner NATURE: Provide life, long term care and property and casualty insurance. Radian Partners, LLC is a Tennessee Sole Member Limited Liability Company founded on August 23, 2004, for the sole purpose of acting as the operating entity for a financial services firm domiciled in Tennessee. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 08/23/2004 ADDRESS: 6055 Primacy Parkway, Suite 160, Memphis TN 38119, United States DESCRIPTION: I am the Sole Member and as such, I oversee all the activities of the business; the W2 employees and the 1099 financial advisors. 2)CSENGE ADVISORY GROUP POSITION: 1099 Employee NATURE: Investment advisory, financial planning and fee based asset management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 04/25/2016 ADDRESS: 4755 E Bay Drive, Clearwater FL 33764, United States DESCRIPTION: Investment advisory, financial planning and fee based asset management. 3)UNIVERSITY OF TENNESSEE AT MARTIN POSITION: Contract education services NATURE: The University of Tennessee at Martin is an instrumentality of the state of Tennessee university system. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 07/01/2024 ADDRESS: 554 University Street, Martin TN 38237, United States DESCRIPTION: We provide contract education services for the University Outreach program. Services include instruction in the University's Passport to Retirement course. 4) Name: Ferrari Club of America Title: President, Tennessee Chapter Term: 2 years from January 2026 to January 2028. Investment related activities: None Address: I operate the chapter from my office. 6055 Primacy Parkway Memphis, TN 38119 National FCA office address:
CRS (Client Relationship Summary) - RIA
Click below to view Larry Jefferson Tolbert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Larry Jefferson Tolbert's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 28, 2016 - Present
CSENGE ADVISORY GROUP, LLC
Office #1: 6060 Poplar Avenue Suite 150, Memphis, TN 38119RIA
CRD#: 131167
Memphis, TN
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 6055 Primacy Pkwy Ste 160, Memphis, TN 38119RIA
BD
CRD#: 139627
Memphis, TN
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 6055 Primacy Pkwy Ste 160, Memphis, TN 38119RIA
BD
CRD#: 139627
Memphis, TN
Past
July 31, 2018 - November 3, 2025
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
Memphis, TN
Past
July 27, 2018 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Memphis, TN
Past
February 8, 2012 - July 31, 2018
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
MEMPHIS, TN
Past
November 17, 2011 - June 14, 2012
PRIVATE CLIENT LLC
RIA
CRD#: 145678
MEMPHIS, TN
Past
November 16, 2011 - July 31, 2018
FSC SECURITIES CORPORATION
BD
CRD#: 7461
MEMPHIS, TN
Past
May 11, 2009 - November 18, 2011
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
RIA
CRD#: 149564
MEMPHIS, TN
Past
April 22, 2009 - November 15, 2011
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
MEMPHIS, TN
Past
October 31, 2005 - April 27, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
MEMPHIS, TN
Past
January 6, 2005 - April 23, 2009
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 107773
MEMPHIS, TN
Past
September 1, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
August 9, 2004 - August 27, 2004
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
MEMPHIS, TN
Past
April 28, 2004 - August 27, 2004
SAXONY SECURITIES, INC.
BD
CRD#: 115547
ST. LOUIS, MO
Past
January 23, 2004 - May 4, 2004
SYNDICATED CAPITAL, INC.
BD
CRD#: 29037
BREA, CA
Past
June 25, 2001 - December 31, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
June 25, 2001 - December 31, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
October 24, 2000 - June 22, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IA
INTEGRITY ALLIANCE, LLC.
18TH STREET FINANCIAL | YODER FINANCIAL GROUP | WMBURT ADVISORS | WEALTHADVISORS GROUP | WEALTH RX | WEALTH PLANNING CONSULTANTS | WEALTH FORMAT SYSTEM | WEALTH CENTERS OF AMERICA | WALLACH FINANCIAL | TRUENORTH FINANCIAL | TRITON WEALTH STRATEGIES | TRIO WEALTH ADVISORY | TRANDAI FINANCIAL SOLUTIONS | TR FINANCIAL GROUP | THE LIMPERT GROUP | THE IFP GROUP, INC | THE FINANCIAL GROUP OF PHILADELPHIA | THE FINANCIAL ARCHITECTS | THE COWART GROUP | SWANSON FINANCIAL | SUMNER FINANCIAL SOLUTIONS, LLC | STEWART WEALTH ADVISORS | SOLOMON WEALTH SOLUTIONS, LLC | SHONSEY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS, LLC. | SAPIERS & WALLACK | ROAD TO RETIREMENT, INC | RICHARD OLSON FINANCIAL GROUP | RETIREMENT SOLUTIONS OF IOWA LLC | RETIREMENT RESOURCES USA, INC | RETIREMENT PLANNING ADVISORS | RETIREMENT DESIGNERS FINANCIAL GROUP, LLC | RETIREBYDESIGN | REIGNMAKERS WEALTH ADVISORS | REIDY FINANCIAL | REFINED STRATEGIES | PREMIER INVESTMENT ADVISORS GROUP | PMN FINANCIAL ASSOCIATES | PLANNINGKAMP | PERSPECTIVE WEALTH PLANNING | PEARCE FINANCIAL SERVICES | PEAK360 WEALTH MANAGEMENT | PARADIGM GILBERT | PALOMA FINANCIAL SERVICES | OZARK FINANCIAL SERVICES OF NWA, INC. | OLIVE TREE WEALTH MANAGEMENT | OAKMONT GROUP | NATIONAL INVESTORS INC. | MONEY ADVISORS GROUP, INC. | MJ FINANCIAL SERVICES | MICHAEL J LUCIA & ASSOCIATES | MEDLOCK WEALTH MANAGEMENT | MCCANN ASSET MANAGEMENT | MARTINI FINANCIAL SERVICES | M2 (SQUARED) WEALTH MANAGEMENT | LONE WOLF FINANCIAL | LISLE FINANCIAL GROUP | LIGHTHOUSE PLANNING GROUP | LIGHTHOUSE AGENCY INC | LIFE INCOME MANAGEMENT | LEGEND WEALTH MANAGEMENT | LAMB FINANCIAL SERVICES | L LOVIE WEALTH MANAGEMENT | KRATZER ADVISORY GROUP LLC | KLYN FINANCIAL | KANAVY FINANCIAL GROUP, LLC | JONES FINANCIAL SOLUTIONS | JML FINANCIAL GROUP | JETT WEALTH MANAGEMENT | JDJ FINANCIAL GROUP | J.C. WARRICK & COMPANY | ISLAND WEALTH ADVISORS, LLC | INVESTMENT RESOURCES OF AMERICA | INTELLECTUAL BUSINESS SOLUTIONS, LLC | INTEGRITY WEALTH | INTEGRITY ALLIANCE, LLC. | INTEGRITY ALLIANCE, LLC | INCOME AND ESTATE PLANNING PARTNERS | HR WEALTH MANAGEMENT | HOWARD AND HOWARD, LLC. | HOOSIER ADVISOR AND ASSOCIATES | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | GREMLER WEALTH MANAGEMENT | GREAT RIVER INVESTMENT SERVICES, LLC. | GATEWAY RETIREMENT SOLUTIONS | GARDNER BROWN ASSOCIATES, INC | FUNDAMENTAL VALUE ANALYTICS | FREEDOM WEALTH GROUP | FREDERICKS WEALTH MANAGEMENT | FREDERICK W. STANSBERRY SOLUTIONS | FORESIGHT FINANCIAL GROUP | FLAH & COMPANY | FIORE TAX AND WEALTH MANAGEMENT | FINLEY DAVIS FINANCIAL GROUP | FINANCIAL INTEGRITY GROUP | FINANCIAL & ESTATE PLANNING SERVICES | FELICIANO FINANCIAL GROUP | ESCOBAR FINANCIAL SERVICES | EGHRARI WEALTH | E.R. INIGUEZ FINANCIAL GROUP | DUKE FINANCIAL PARTNERS, LLC | DENTDELIOUN, LLC | DANNY HORN FINANCIAL | CURTIS & ASSOCIATES, INC | CREUTZER FINANCIAL GROUP | CRESCENT WEALTH MANAGEMENT | COVERAGE SOLUTIONS | CONSOLIDATED FINANCIAL MANAGEMENT & TAX SERVICE | CG FINANCIAL GROUP | CARRICK FINANCIAL GROUP | CAPITAL PROTECT GROUP | CAPITAL GROUP, INC | CALIBRATE WEALTH PARTNERS | BRYTON FINANCIAL | BRUNO FINANCIAL SERVICES | BROWN FINANCIAL SERVICES | BROKERS INTERNATIONAL MOUNTAIN STATES | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC | BROKERS FINANCIAL | BROCK FINANCIAL SERVICES | BRIDGE PARTNERS | BRANDT FINANCIAL SERVICES, INC. | BLUFFVIEW INSURANCE GROUP | BI FINANCIAL SERVICES | BELL FINANCIAL | B.I. FINANCIAL AND INSURANCE SERVICES, LLC | ARREOLA FINANCIAL | ARISGARDE | AMERICAN ACADEMY WEALTH | AFFLUENT WEALTH MANAGEMENT | AARON M SMITH FINANCIAL GROUP | 22ND STATE WEALTH MANAGEMENT
CRD#: 139627 / SEC#: 801-69742, 8-67239
RIA
Registered Investment Advisory firm - SEC (11/14/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Arkansas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)California
Registered Investment Advisory firm - SEC (11/21/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/17/2008 Terminated)Delaware
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)Illinois
Registered Investment Advisory firm - SEC (11/14/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Iowa
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)Kansas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (11/18/2008 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Maine
Registered Investment Advisory firm - SEC (4/15/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (11/24/2008 Terminated)Mississippi
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Nebraska
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (11/25/2008 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/23/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/21/2008 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)South Dakota
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Virgin Islands
Registered Investment Advisory firm - SEC (7/17/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)West Virginia
Registered Investment Advisory firm - SEC (11/18/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/3/2025)
RR
Arizona(11/3/2025)
RR
Arkansas(11/3/2025)
RR
Delaware(11/3/2025)
RR
Georgia(11/3/2025)
RR
Mississippi(11/3/2025)
RR
New York(11/3/2025)
RR
North Carolina(11/3/2025)
RR
Ohio(11/3/2025)
IAR
Tennessee(9/28/2016)
RR
Tennessee(11/5/2025)
RR
Texas(11/3/2025)
RR
Utah(11/3/2025)
RR
Virginia(11/3/2025)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INTEGRITY ALLIANCE, LLC.
18TH STREET FINANCIAL | YODER FINANCIAL GROUP | WMBURT ADVISORS | WEALTHADVISORS GROUP | WEALTH RX | WEALTH PLANNING CONSULTANTS | WEALTH FORMAT SYSTEM | WEALTH CENTERS OF AMERICA | WALLACH FINANCIAL | TRUENORTH FINANCIAL | TRITON WEALTH STRATEGIES | TRIO WEALTH ADVISORY | TRANDAI FINANCIAL SOLUTIONS | TR FINANCIAL GROUP | THE LIMPERT GROUP | THE IFP GROUP, INC | THE FINANCIAL GROUP OF PHILADELPHIA | THE FINANCIAL ARCHITECTS | THE COWART GROUP | SWANSON FINANCIAL | SUMNER FINANCIAL SOLUTIONS, LLC | STEWART WEALTH ADVISORS | SOLOMON WEALTH SOLUTIONS, LLC | SHONSEY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS, LLC. | SAPIERS & WALLACK | ROAD TO RETIREMENT, INC | RICHARD OLSON FINANCIAL GROUP | RETIREMENT SOLUTIONS OF IOWA LLC | RETIREMENT RESOURCES USA, INC | RETIREMENT PLANNING ADVISORS | RETIREMENT DESIGNERS FINANCIAL GROUP, LLC | RETIREBYDESIGN | REIGNMAKERS WEALTH ADVISORS | REIDY FINANCIAL | REFINED STRATEGIES | PREMIER INVESTMENT ADVISORS GROUP | PMN FINANCIAL ASSOCIATES | PLANNINGKAMP | PERSPECTIVE WEALTH PLANNING | PEARCE FINANCIAL SERVICES | PEAK360 WEALTH MANAGEMENT | PARADIGM GILBERT | PALOMA FINANCIAL SERVICES | OZARK FINANCIAL SERVICES OF NWA, INC. | OLIVE TREE WEALTH MANAGEMENT | OAKMONT GROUP | NATIONAL INVESTORS INC. | MONEY ADVISORS GROUP, INC. | MJ FINANCIAL SERVICES | MICHAEL J LUCIA & ASSOCIATES | MEDLOCK WEALTH MANAGEMENT | MCCANN ASSET MANAGEMENT | MARTINI FINANCIAL SERVICES | M2 (SQUARED) WEALTH MANAGEMENT | LONE WOLF FINANCIAL | LISLE FINANCIAL GROUP | LIGHTHOUSE PLANNING GROUP | LIGHTHOUSE AGENCY INC | LIFE INCOME MANAGEMENT | LEGEND WEALTH MANAGEMENT | LAMB FINANCIAL SERVICES | L LOVIE WEALTH MANAGEMENT | KRATZER ADVISORY GROUP LLC | KLYN FINANCIAL | KANAVY FINANCIAL GROUP, LLC | JONES FINANCIAL SOLUTIONS | JML FINANCIAL GROUP | JETT WEALTH MANAGEMENT | JDJ FINANCIAL GROUP | J.C. WARRICK & COMPANY | ISLAND WEALTH ADVISORS, LLC | INVESTMENT RESOURCES OF AMERICA | INTELLECTUAL BUSINESS SOLUTIONS, LLC | INTEGRITY WEALTH | INTEGRITY ALLIANCE, LLC. | INTEGRITY ALLIANCE, LLC | INCOME AND ESTATE PLANNING PARTNERS | HR WEALTH MANAGEMENT | HOWARD AND HOWARD, LLC. | HOOSIER ADVISOR AND ASSOCIATES | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | GREMLER WEALTH MANAGEMENT | GREAT RIVER INVESTMENT SERVICES, LLC. | GATEWAY RETIREMENT SOLUTIONS | GARDNER BROWN ASSOCIATES, INC | FUNDAMENTAL VALUE ANALYTICS | FREEDOM WEALTH GROUP | FREDERICKS WEALTH MANAGEMENT | FREDERICK W. STANSBERRY SOLUTIONS | FORESIGHT FINANCIAL GROUP | FLAH & COMPANY | FIORE TAX AND WEALTH MANAGEMENT | FINLEY DAVIS FINANCIAL GROUP | FINANCIAL INTEGRITY GROUP | FINANCIAL & ESTATE PLANNING SERVICES | FELICIANO FINANCIAL GROUP | ESCOBAR FINANCIAL SERVICES | EGHRARI WEALTH | E.R. INIGUEZ FINANCIAL GROUP | DUKE FINANCIAL PARTNERS, LLC | DENTDELIOUN, LLC | DANNY HORN FINANCIAL | CURTIS & ASSOCIATES, INC | CREUTZER FINANCIAL GROUP | CRESCENT WEALTH MANAGEMENT | COVERAGE SOLUTIONS | CONSOLIDATED FINANCIAL MANAGEMENT & TAX SERVICE | CG FINANCIAL GROUP | CARRICK FINANCIAL GROUP | CAPITAL PROTECT GROUP | CAPITAL GROUP, INC | CALIBRATE WEALTH PARTNERS | BRYTON FINANCIAL | BRUNO FINANCIAL SERVICES | BROWN FINANCIAL SERVICES | BROKERS INTERNATIONAL MOUNTAIN STATES | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC | BROKERS FINANCIAL | BROCK FINANCIAL SERVICES | BRIDGE PARTNERS | BRANDT FINANCIAL SERVICES, INC. | BLUFFVIEW INSURANCE GROUP | BI FINANCIAL SERVICES | BELL FINANCIAL | B.I. FINANCIAL AND INSURANCE SERVICES, LLC | ARREOLA FINANCIAL | ARISGARDE | AMERICAN ACADEMY WEALTH | AFFLUENT WEALTH MANAGEMENT | AARON M SMITH FINANCIAL GROUP | 22ND STATE WEALTH MANAGEMENT
CRD#: 139627 / SEC#: 801-69742, 8-67239
RIA
Registered Investment Advisory firm - SEC (11/14/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Arkansas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)California
Registered Investment Advisory firm - SEC (11/21/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/17/2008 Terminated)Delaware
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)Illinois
Registered Investment Advisory firm - SEC (11/14/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Iowa
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)Kansas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (11/18/2008 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Maine
Registered Investment Advisory firm - SEC (4/15/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (11/24/2008 Terminated)Mississippi
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Nebraska
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (11/25/2008 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/23/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/21/2008 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)South Dakota
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Virgin Islands
Registered Investment Advisory firm - SEC (7/17/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)West Virginia
Registered Investment Advisory firm - SEC (11/18/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4135 Nw Urbandale Dr, Urbandale, IA 50322
Mailing Address
4135 Nw Urbandale Dr, Urbandale, IA 50322
Phone number
(877) 886-1939
Established
Delaware since 06/03/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
400
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN INDEPENDENT MARKETING, LLC | DIRECT OWNER | |
| AUKES, BRIAN EDWARD | PRESIDENT | 2712193 |
| BAKER, ANDREA K | CHIEF FINANCIAL OFFICER/FINOP | 5533991 |
| MERLA, CHRISTOPHER AARON | HEAD OF OPERATIONS | 4790661 |
| MUJDZIC, BELMA | OPERATIONS DIRECTOR | 4629710 |
| OSBY, ANDREW ALLEN | CHIEF INVESTMENT OFFICER | 4202621 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
Regulatory assets under management
| Total Number of Accounts | 20,448 |
| AUM (Assets Under Management) | $ 5,411,976,879 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INTEGRITY ALLIANCE, LLC.
CRD#: 139627Memphis, TN 38119TRUST BUT VERIFY
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