James J. Friedman

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CRD#: 1180441

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Joseph Friedman was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1987. James had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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)JAMES J. FRIEDMAN, 119 FIGUEROA ST., SUITE L, VENTURA, CA 93001 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERS ACCIDENT & HEALTH, DISABILITY, FIXED, AND TRADITIONAL INSURANCE PRODUCTS AS WELL AS INDEXED ANNUITIES AND HEALTH SAVINGS ACCOUNTS. START DATE: 6/09 HOURS PER MONTH: 125 HOURS PER MONTH DURING TRADING HOURS: 125 2)HEALTH CARE PLANNERS, INSURANCE,119 FIGUEROA ST., SUITE L, VENTURA, CA. 93001; NON-INVESTMENT RELATED, AGENT, OFFERS ACCIDENT & HEALTH INSURANCE PRODUCTS, START 11/2009, 40HPM, 20HDTH. 3)JAMES J. FRIEDMAN 119 FIGUEROA ST., SUITE L VENTURA, CA 93001 CATEGORY: EQUITY INDEX ANNUITIES. INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERING FIXED AND EQUITY INDEX ANNUITIES. START DATE: 1-15-2012 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 10 4) VENTURA CITY COUNCIL; NOT INVESTMENT RELATED; 501 POLI ST. VENTURA, CA 93001; CITY GOVERNMENT; COUNCIL MEMBER; 12/10/2018; 40 HOURS PER MONTH; 40 HOURS PER MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 18, 2018 - February 15, 2023

INTEGRITY WEALTH ADVISORS, LLC

RIA

CRD#: 281708

VENTURA, CA

Past

June 6, 2012 - December 18, 2017

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

VENTURA, CA

Past

December 12, 2001 - September 16, 2011

OSAIC FS, INC.

RIA

CRD#: 3870

VENTURA, CA

Past

September 6, 2000 - June 14, 2012

OSAIC FS, INC.

CRD#: 3870

VENTURA, CA

Past

March 8, 1993 - September 20, 2000

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

July 7, 1989 - March 8, 1993

FIDELITY EQUITY SERVICES CORPORATION

CRD#: 17455

Past

August 26, 1987 - July 10, 1989

WASHINGTON NATIONAL EQUITY COMPANY

CRD#: 4242

EVANSTON, IL

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".

INTEGRITY WEALTH ADVISORS, LLC

CRD#: 281708 / SEC#: 801-113205

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

California

Registered Investment Advisory firm - (6/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/18/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/22/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/25/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INTEGRITY WEALTH ADVISORS, LLC

CRD#: 281708 / SEC#: 801-113205

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

California

Registered Investment Advisory firm - (6/17/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/18/2018 Terminated)

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Contact information

Main Address

196 S. Fir St. Suite 140, Ventura, CA 93001

Mailing Address

Phone number

(805) 339-0760

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IWA ADV PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,269
AUM (Assets Under Management)	$ 274,915,294

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.

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Advisor Monitoring

Firm Stability Insights

James J. Friedman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TAYLOR CAPITAL MANAGEMENT INC.

OSAIC FS, INC.

OSAIC FS, INC.

CETERA WEALTH SERVICES, LLC

FIDELITY EQUITY SERVICES CORPORATION

WASHINGTON NATIONAL EQUITY COMPANY

Primary Firm SEC Registration

INTEGRITY WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/2007

SIE

Date: 12/18/2017

Series 6

Date: 8/25/1987

Current Firm

INTEGRITY WEALTH ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTEGRITY WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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