Jose A. Feliciano
INTEGRITY ALLIANCE.
TYLER, TX 75701
Some features on this profile are disabled
CRD#: 2303100
Professional summary
Jose Anselmo Feliciano JR, CFP®, who also goes by Jose A Feliciano Jr, is a registered financial advisor currently at INTEGRITY ALLIANCE, LLC. located in Tyler, Texas.
Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Jose has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jose A Feliciano 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.JOSE FELICIANO FOUNDATION POSITION: Owner NATURE: Non-Profit organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/03/2010 ADDRESS: 1828 E.S.E Loop 323 suite 200, Tyler TX 75701, United States DESCRIPTION: Director and Primary representative and promoter of charity events and fundraising 2.JOSE FELICIANO POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1993 ADDRESS: 6503 Gleneagles, Tyler TX 75703, United States DESCRIPTION: Rental Property and real estate property 3.JOSESPEAKS.COM POSITION: Owner NATURE: Keynote Speaker INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2009 ADDRESS: 6503 Gleneagles, Tyler TX 75703, United States DESCRIPTION: Keynote Speaker 4.INSPIRE LEARNING POSITION: Owner NATURE: Speaking and working with partner on education leadership INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2006 ADDRESS: 6503 Gleneagles, Tyler TX 75703, United States DESCRIPTION: Speaker 5.JOSEFELICIANOBOOKS.COM POSITION: Owner NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2009 ADDRESS: 6503 Gleneagles, Tyler TX 75703, United States DESCRIPTION: Author 6.GERIATRIC CARE SOLUTIONS POSITION: Owner NATURE: Medicaid application processing INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2011 ADDRESS: 1828 E.S.E Loop 323 suite 200, Tyler TX 75701, United States DESCRIPTION: Owner 7.JOSE FELICIANO GROUP/FELICIANO INSURANCE POSITION: Owner NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 08/01/1982 ADDRESS: 1828 E.S.E loop 323 suite 200, Tyler TX 75701, United States DESCRIPTION: Owner 8.WORLD CLASS ADVISORS, POS: Owner NATURE: Sole Proprietorship INVST RLTD: Yes NUMBER OF HRS: 10 SEC TRADING HRS: 5 START DATE: 06/01/2011, ADDRESS: 1828 E. SE Loop 323, Suite 200, tyler TX 75701, DES: Life, Long Term Care and health brokerageIns rltd, representing brokerage companies training reps and agents in the businesses (consultation) 9.LION STREET, INC; YES; 515 CONGRESS AVE STE 2500 AUSTIN TX 78701; INS PRODUCER GROUP; OWNER; 2-4; 04/2017 10.WORLD CLASS ADVISORS POS: Owner NATURE: Sole Propiertorsip INVST RLTD: No NUMBER OF HRS: 1 SEC TRADING HRS: 1 START DATE: 06/01/2011 ADDRESS: 1828 E.S.E loop 323 suite 200, Tyler TX 75701, United States DES: Owner
CRS (Client Relationship Summary) - RIA
Click below to view Jose Anselmo Feliciano JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jose Anselmo Feliciano 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®
CFP®
Start date: 2000
Experience
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 1828 Ese Loop Ste 200, Tyler, TX 75701RIA
BD
CRD#: 139627
TYLER, TX
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 1828 Ese Loop Ste 200, Tyler, TX 75701RIA
BD
CRD#: 139627
TYLER, TX
Past
May 26, 2017 - November 3, 2025
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
TYLER, TX
Past
April 28, 2017 - May 2, 2017
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
TYLER, TX
Past
April 28, 2017 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
TYLER, TX
Past
January 25, 1993 - April 28, 2017
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
TYLER, TX
Past
January 25, 1993 - April 28, 2017
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
TYLER, TX
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
Alabama(11/3/2025)
RR
Alaska(11/3/2025)
RR
Arizona(11/3/2025)
RR
Arkansas(11/3/2025)
RR
California(11/3/2025)
RR
Colorado(11/3/2025)
RR
Georgia(11/3/2025)
RR
Illinois(11/3/2025)
RR
Indiana(11/3/2025)
RR
Kansas(11/3/2025)
RR
Kentucky(11/3/2025)
RR
Louisiana(11/3/2025)
RR
Maine(11/3/2025)
RR
Maryland(11/3/2025)
RR
Michigan(11/3/2025)
RR
Minnesota(11/3/2025)
RR
Mississippi(11/3/2025)
RR
Missouri(11/3/2025)
RR
Nebraska(11/3/2025)
RR
Nevada(11/3/2025)
RR
New Jersey(11/3/2025)
RR
New Mexico(11/3/2025)
RR
New York(11/3/2025)
RR
North Carolina(11/3/2025)
RR
Ohio(11/3/2025)
RR
Oklahoma(11/3/2025)
RR
Oregon(11/3/2025)
RR
Pennsylvania(11/3/2025)
RR
South Carolina(11/3/2025)
RR
Tennessee(11/3/2025)
RR
Texas(11/3/2025)
IAR
Texas(11/3/2025)
RR
Utah(11/3/2025)
RR
Vermont(11/3/2025)
RR
Virginia(11/3/2025)
RR
Washington(11/3/2025)
RR
Wyoming(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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 | 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.
