WS
Warren B. Stickney
INTEGRITY ALLIANCE.
BELLEVUE, WA 98004
Some features on this profile are disabled
CRD#: 2432681
WS
Professional summary
Warren Bradford Stickney is a registered financial advisor currently at INTEGRITY ALLIANCE, LLC. located in Bellevue, Washington.
Warren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Warren has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.REAL ESTATE PROPERTY, 33% OWNER, 1997, 0HRS; LAMINAR, INVESTMENT RELATED, 2050 112TH AVE NE STE 210 BELLEVUE WA 98004, MANAGING PARTNER, BUILDING AND SELLING ONE PIECE OF PROPERTY FOR PROFIT, 9/2007, 0HRS; PIKE PLACE MARKET, NOT INVESTMENT RELATED, 85 PIKE STREET STE 500 SEATTLE WA 98101, BOARD OF DIRECTORS, BOARD MEMBER, 2003, 0HRS; LION STREET, INC., INVESTMENT RELATED, 515 CONGRESS AVE STE 2500 AUSTIN TX 78701, NETWORK OF INSURANCE ADVISORS, OWNER, 2/2018, 2-4HRS; THE WELL PLANNED COMPANIES, INVESTMENT RELATED, 2050 112TH AVE NE STE #210 BELLEVUE WA 98004, PARENT COMPANY OF STICKNEY RESEARCH, PRESIDENT/OWNER, 40HRS; STICKNEY FAMILY CHARITABLE TRUST, NOT INVESTMENT RELATED, 2050 112TH AVE NE STE #210 BELLEVUE WA 98004, TRUST, TRUSTEE, 0HRS 2.French Family Estate & Trust;9233 Interlake Ave N Apt#301, Seattle, WA 98103;Not investment related; Nature of Business: I have been appointed as the executor and trustee of estate of deceased client, James French; Job Function: Administer the estate - Fund trusts and do the distributions; Compensation: Hourly and regular compensation for administration. 3.STICKNEY RESEARCH POSITION: Owner NATURE: Insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/10/1997 ADDRESS: 2050 112 ave ne 210, Bellevue WA 98004, United States DESCRIPTION: Insurance sales 4.EMMYLU LLC POSITION: Owner NATURE: Investment LLC in real estate. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2009 ADDRESS: 2050 112th ave ne, Suite 210, bellevue WA 98004, United States DESCRIPTION: Invest through this entity in real estate 5.EVERWOOD, INC POSITION: Owner NATURE: Is appointed with the State of WA to do life settlement business. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/21/2005 ADDRESS: 2050 112th Ave NE, #210, Bellevue WA 98004, United States DESCRIPTION: This entity is registered as our affiliate corp for life settlement transactions. 6.MY OWN CREATIVE LLC POSITION: Owner NATURE: Management and producer for DJ. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 04/02/2020 ADDRESS: 2050 112 ave ne 210, Bellevue WA 98004, United States DESCRIPTION: I negotiate contracts with record labels for Teo Mandrelli and arrange for collaboration with other artists. 7.EVERGREEN TAX PLANNING POSITION: Owner NATURE: Tax planning practice INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2017 ADDRESS: 2050 112th Ave NE, Ste 210, Bellevue WA 98004, United States DESCRIPTION: Tax planning practice 8.BOOK: INCREASE YOUR WORTH POSITION: author NATURE: This is a book to inspire people to give more to charity through education of various planning options (like CRTs, CRUTs, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2022 ADDRESS: 2050 112th Ave NE, #210, Bellevue WA 98004, United States DESCRIPTION: I worked with a ghost writer to create this book, which I have listed for sale on Amazon 9.THE WELL PLANNED COMPANIES POSITION: Owner NATURE: Parent company of Stickney Research INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 05/02/2003 ADDRESS: 2050 112 ave ne 210, Bellevue WA 98004, United States DESCRIPTION: Its my planning company..!!! 10.ROCK THIS PRODUCTION POSITION: Owner NATURE: Music promotion management INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/10/2019 ADDRESS: 2050 112 ave ne 210, Bellevue WA 98004, United States DESCRIPTION: Music promotion
CRS (Client Relationship Summary) - RIA
Click below to view Warren Bradford Stickney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Warren Bradford Stickney'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
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 2050 112th Ave Ne Ste 210, Bellevue, WA 98004RIA
BD
CRD#: 139627
BELLEVUE, WA
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 2050 112th Ave Ne Ste 210, Bellevue, WA 98004RIA
BD
CRD#: 139627
BELLEVUE, WA
Past
February 16, 2018 - November 3, 2025
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
BELLEVUE, WA
Past
February 16, 2018 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
BELLEVUE, WA
Past
February 24, 2012 - February 19, 2018
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
BELLEVUE, WA
Past
February 14, 2012 - February 19, 2018
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
BELLEVUE, WA
Past
September 9, 2004 - February 14, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
BELLEVUE, WA
Past
June 28, 1997 - February 14, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
BELLEVUE, WA
Past
January 13, 1994 - June 6, 1997
MONY SECURITIES CORPORATION
BD
CRD#: 4386
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 | 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(11/3/2025)
RR
California(11/3/2025)
RR
Colorado(11/3/2025)
RR
Connecticut(11/3/2025)
RR
Florida(11/5/2025)
RR
Hawaii(11/3/2025)
RR
Idaho(11/3/2025)
RR
New Jersey(11/3/2025)
RR
Ohio(11/3/2025)
RR
Oregon(11/3/2025)
RR
Tennessee(11/3/2025)
RR
Texas(11/3/2025)
RR
Washington(11/3/2025)
IAR
Washington(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
