HS
Howard R. Solomon
INTEGRITY ALLIANCE.
Parsippany, NJ 07054
Some features on this profile are disabled
CRD#: 2225293
HS
Professional summary
Howard Raymond Solomon JR, CLU®, who also goes by Howard Raymond Solomon, Howie Solomon Jr, is a registered financial advisor currently at INTEGRITY ALLIANCE, LLC. located in Parsippany, New Jersey.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Howard has worked at 17 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Howard Raymond Solomon | Howie Solomon Jr
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. Solomon Wealth Solutions LLC; Investment related; 364 Parsippany Rd, Ste 12b, Parsippany, NJ 07054; DBA for Securities and Advisory business; Owner; 02/02/2018; 200 hours per month; 160 hoursduring security hours; sales of securities 2) Howard R Solomon Jr; Not investment related; 364 Parsippany Rd, Ste 12b, Parsippany, NJ 07054; Fixed insurance sales; Owner; 01/01/1994; 20 hours per month; 10 hours during security hours; sales of fixed insurance products 3) Jewelbox Bedlingtons; Not investment related; 47 Beechwood Road, Belvidere NJ 07823; Raise and Breed dogs; Owner; 01/01/2005; 80 hoursper month; 0 hours during security hours; Raising, breeding and showing purebred dogs 4) Domestic Partners Network,; Not investment related; 1430 Broadway, New York, NY 10018; Speaker/Educator; Volunteer; 05/01/2011; 2 hours per month; 0 hours during security hours; Speaker, educator on financial matters for non-married and same-sex couples. 5) Garden State Saluki Club; Not investment related; 122 Lincoln Laurel Rd, Newton, NJ 07860; non-profit Charity; Vice President. 02/01/2015; 5 hours per month; 0 hours during security hours; Dog club 6) Bedlington Terrier Wellness and Rescue Assoc; Not investment related; 1745 Proffit Road, Vienna VA 22182; Non-profit Charity; Board Member; 03/01/2015; 1 hour per month; 0 hours during security hours; Breed health and rescue club 7) Tree farming, farming and wood sales, farmland rental; Not investment related; 122 Lincoln Laurel Road, Newton, NJ 07860; Tree farming, farming, raising animals, wood sales; Owner; 10/12/2020; 60 hours per month, 0 during trading; Farming 8) Cedar Hill Condominium Association; Not securities related; 364 Parsippany Road, Parsippany, NJ 07054; Condo Board Member; Vice President; Started 11/12/2020; 1 hour per month, 0 during trading; Act as VP on Condo Board, make board decisions. 9) Pro College Consulting; not securities related; 1761 West Hillsbourough Boulevard, Suite 326, Deerfield Beach, FL 33442; Recommending College Planning services and providing their deliverables; Sales person; 04/14/2022; 20 hours per month, 20 hrs during securities hours; speaking with individuals about FAFSA forms and qualifying for financial aid 10) Bedlington Terrier Club of America; Not investment related; 8272 NW Oakwood Dr, Ankeny, IA 50023; Delegate to the American Kennel Club; Delegate; 05/01/2023; 4 hours per month; 2 hours during security hours; Represent BTCA with the American Kennel Club
CRS (Client Relationship Summary) - RIA
Click below to view Howard Raymond Solomon JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Howard Raymond Solomon JR'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®
Experience
Current
September 8, 2017 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 364 Parsippany Road Ste 12b, Parsippany, NJ 07054RIA
BD
CRD#: 139627
Parsippany, NJ
Current
September 1, 2017 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 364 Parsippany Road Ste 12b, Parsippany, NJ 07054RIA
BD
CRD#: 139627
Parsippany, NJ
Past
October 8, 2010 - September 5, 2017
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
FAIRFIELD, NJ
Past
September 27, 2010 - September 5, 2017
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
FAIRFIELD, NJ
Past
September 9, 2010 - September 28, 2010
VERUS CAPITAL PARTNERS, LLC
RIA
CRD#: 151568
BOONTON, NJ
Past
August 27, 2010 - September 27, 2010
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BOONTON, NJ
Past
February 23, 2007 - September 16, 2010
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
BOONTON, NJ
Past
February 23, 2007 - September 16, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
BOONTON, NJ
Past
June 2, 2006 - February 26, 2007
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
BRIDGEWATER, NJ
Past
January 4, 2006 - October 2, 2006
THE INVESTMENT CENTER, INC.
RIA
CRD#: 17839
BOONTON, NJ
Past
January 4, 2006 - February 26, 2007
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BOONTON, NJ
Past
May 13, 2004 - December 31, 2005
PGP FINANCIAL, INC.
BD
CRD#: 21617
GREAT RIVER, NY
Past
August 1, 2003 - May 18, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 2, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
May 31, 2000 - December 31, 2001
CHRISTOPHER STREET FINANCIAL, INC.
BD
CRD#: 10250
NEW YORK, NY
Past
September 20, 1999 - May 30, 2000
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
December 16, 1998 - September 22, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 11, 1998 - November 18, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 14, 1995 - January 20, 1998
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
December 9, 1994 - January 22, 1998
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
July 13, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
July 13, 1992 - September 7, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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 | WMBURT ADVISORS | WEALTHADVISORS GROUP | WEALTH PLANNING CONSULTANTS | WEALTH FORMAT SYSTEM | WEALTH CENTERS OF AMERICA | WALLACH FINANCIAL | TRIO WEALTH ADVISORY | TRANDAI FINANCIAL SOLUTIONS | TR FINANCIAL GROUP | THE LIMPERT GROUP | THE FINANCIAL ARCHITECTS | SWANSON FINANCIAL | SUMNER FINANCIAL SOLUTIONS, LLC | STEWART WEALTH ADVISORS | SOLOMON WEALTH SOLUTIONS, LLC | SHONSEY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS, LLC. | 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 | REIDY FINANCIAL | PREMIER INVESTMENT ADVISORS GROUP | PMN FINANCIAL ASSOCIATES | PLANNINGKAMP | PERSPECTIVE WEALTH PLANNING | PEARCE FINANCIAL SERVICES | PALOMA FINANCIAL SERVICES | OZARK FINANCIAL SERVICES OF NWA, INC. | OLIVE TREE WEALTH MANAGEMENT | 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 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 | HR WEALTH MANAGEMENT | HOWARD AND HOWARD, LLC. | HOOSIER ADVISOR AND ASSOCIATES | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | GREMLER WEALTH MANAGEMENT | GREAT RIVER INVESTMENT SERVICES, LLC. | GARDNER BROWN ASSOCIATES, INC | FUNDAMENTAL VALUE ANALYTICS | FREEDOM WEALTH GROUP | FREDERICKS WEALTH MANAGEMENT | FREDERICK W. STANSBERRY SOLUTIONS | FORESIGHT FINANCIAL GROUP | FIORE TAX AND WEALTH MANAGEMENT | FINANCIAL INTEGRITY GROUP | FINANCIAL & ESTATE PLANNING SERVICES | ESCOBAR FINANCIAL SERVICES | EGHRARI WEALTH | E.R. INIGUEZ FINANCIAL GROUP | DANNY HORN FINANCIAL | CREUTZER FINANCIAL GROUP | COVERAGE SOLUTIONS | CONSOLIDATED FINANCIAL MANAGEMENT & TAX SERVICE | CG FINANCIAL GROUP | CARRICK FINANCIAL GROUP | CAPITAL PROTECT GROUP | CAPITAL GROUP, INC | 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 | BRANDT FINANCIAL SERVICES, INC. | BI FINANCIAL SERVICES | BELL FINANCIAL | B.I. FINANCIAL AND INSURANCE SERVICES, LLC | ARREOLA FINANCIAL | 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
Arizona(12/3/2018)
RR
California(9/1/2017)
RR
Connecticut(9/1/2017)
RR
Delaware(9/12/2017)
RR
District of Columbia(9/1/2017)
RR
Florida(9/1/2017)
RR
Iowa(9/30/2022)
RR
Maryland(9/1/2017)
RR
Massachusetts(9/1/2017)
RR
New Jersey(9/1/2017)
IAR
New Jersey(9/8/2017)
RR
New York(9/1/2017)
RR
North Carolina(10/7/2021)
RR
Ohio(11/2/2023)
RR
Oregon(9/1/2017)
RR
Pennsylvania(9/1/2017)
RR
South Carolina(7/31/2018)
IAR
Texas(10/24/2023)
RR
Vermont(7/21/2025)
RR
Virginia(9/1/2017)
RR
Washington(9/1/2017)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INTEGRITY ALLIANCE, LLC.
18TH STREET FINANCIAL | WMBURT ADVISORS | WEALTHADVISORS GROUP | WEALTH PLANNING CONSULTANTS | WEALTH FORMAT SYSTEM | WEALTH CENTERS OF AMERICA | WALLACH FINANCIAL | TRIO WEALTH ADVISORY | TRANDAI FINANCIAL SOLUTIONS | TR FINANCIAL GROUP | THE LIMPERT GROUP | THE FINANCIAL ARCHITECTS | SWANSON FINANCIAL | SUMNER FINANCIAL SOLUTIONS, LLC | STEWART WEALTH ADVISORS | SOLOMON WEALTH SOLUTIONS, LLC | SHONSEY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS, LLC. | 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 | REIDY FINANCIAL | PREMIER INVESTMENT ADVISORS GROUP | PMN FINANCIAL ASSOCIATES | PLANNINGKAMP | PERSPECTIVE WEALTH PLANNING | PEARCE FINANCIAL SERVICES | PALOMA FINANCIAL SERVICES | OZARK FINANCIAL SERVICES OF NWA, INC. | OLIVE TREE WEALTH MANAGEMENT | 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 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 | HR WEALTH MANAGEMENT | HOWARD AND HOWARD, LLC. | HOOSIER ADVISOR AND ASSOCIATES | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | GREMLER WEALTH MANAGEMENT | GREAT RIVER INVESTMENT SERVICES, LLC. | GARDNER BROWN ASSOCIATES, INC | FUNDAMENTAL VALUE ANALYTICS | FREEDOM WEALTH GROUP | FREDERICKS WEALTH MANAGEMENT | FREDERICK W. STANSBERRY SOLUTIONS | FORESIGHT FINANCIAL GROUP | FIORE TAX AND WEALTH MANAGEMENT | FINANCIAL INTEGRITY GROUP | FINANCIAL & ESTATE PLANNING SERVICES | ESCOBAR FINANCIAL SERVICES | EGHRARI WEALTH | E.R. INIGUEZ FINANCIAL GROUP | DANNY HORN FINANCIAL | CREUTZER FINANCIAL GROUP | COVERAGE SOLUTIONS | CONSOLIDATED FINANCIAL MANAGEMENT & TAX SERVICE | CG FINANCIAL GROUP | CARRICK FINANCIAL GROUP | CAPITAL PROTECT GROUP | CAPITAL GROUP, INC | 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 | BRANDT FINANCIAL SERVICES, INC. | BI FINANCIAL SERVICES | BELL FINANCIAL | B.I. FINANCIAL AND INSURANCE SERVICES, LLC | ARREOLA FINANCIAL | 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
265
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 14,148 |
| AUM (Assets Under Management) | $ 2,409,759,253 |
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.
