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PP

Peter G. Pecci

INTEGRITY ALLIANCE.
Weston, FL 33326
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CRD#: 2435388
PP

Professional summary


Peter George Pecci is a registered financial advisor currently at INTEGRITY ALLIANCE, LLC. located in Weston, Florida.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Peter has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

top-8-questions

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) Rotary International; Not Investment Related; One Rotary Center, 1560 Sherman Ave, Evanston, IL 60201-3698; Charity/Philanthropic; District Leadership; 12/31/2023; 5 hours a month; 0 hours during security hours; Meet with individual clubs, understand club needs, and connect those needs to a resource at the Rotary district level. 2) Premier Investment Advisors Group; Investment Related; 16415 Sapphire PL, Weston, FL 33331; DBA for Securities/RIA; President - Registered Principal; 12/01/2018; 200 hours per month, 120 hours during security hours; Wealth Management services and OSJ. 3) Voluntary Benefits - Colonial Life; Not investment Related; 16415 Sapphire PL, Weston, FL 33331; District General Agent; Recruit agents; 12/01/2017; 40 hours per month; 40 hours during security hours; offer voluntary benefits. 4) YMCA Board of Directors; Not Investment Related; 16415 Sapphire PL, Weston, FL 33331; Board Member; 01/01/2013; 3 hour per month; 0 hours during security hours; South Florida Association

Blog Corner


CRS (Client Relationship Summary) - RIA


Click below to view Peter George Pecci's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD


Click below to view Peter George Pecci's CRS (Customer Relationship Summary).
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®
None

Experience


Current

January 31, 2018 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 1398 Sw 160th Av Ste 503, Weston, FL 33326
RIA
BD
CRD#: 139627
Weston, FL
Current

December 12, 2017 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 1398 Sw 160th Av Ste 503, Weston, FL 33326
RIA
BD
CRD#: 139627
Weston, FL
Past

June 30, 2016 - October 19, 2017

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Plantation, FL
Past

May 13, 2016 - October 17, 2017

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Coconut Creek, FL
Past

June 2, 2015 - May 6, 2016

FINANCIAL WEST GROUP

RIA
CRD#: 16668
FORT LAUDERDALE, FL
Past

May 19, 2015 - May 6, 2016

FINANCIAL WEST GROUP

BD
CRD#: 16668
FORT LAUDERDALE, FL
Past

January 26, 2015 - May 19, 2015

VERTICAL CAPITAL ASSET MANAGEMENT, LLC

RIA
CRD#: 158382
WESTON, FL
Past

January 22, 2015 - May 19, 2015

VERTICAL CAPITAL SECURITIES, LLC

BD
CRD#: 154697
IRVINE, CA
Past

October 22, 2010 - December 5, 2014

KOVACK ADVISORS, INC.

RIA
CRD#: 140808
FT. LAUDERDALE, FL
Past

October 6, 2010 - December 5, 2014

KOVACK SECURITIES INC.

BD
CRD#: 44848
FORT LAUDERDALE, FL
Past

May 20, 2008 - July 30, 2010

INVESTACORP ADVISORY SERVICES INC

RIA
CRD#: 109011
MIAMI LAKES, FL
Past

February 12, 2007 - July 29, 2010

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

June 11, 2003 - January 24, 2007

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
FORT LAUDERDALE, FL
Past

June 6, 2003 - January 24, 2007

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
FORT LAUDERDALE, FL
Past

March 6, 2002 - June 19, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
FT LAUDERDALE, FL
Past

March 6, 2002 - June 19, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

March 16, 1999 - February 1, 2002

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

BD
CRD#: 27884
SAN MATEO, CA
Past

March 2, 1994 - March 17, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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
(7/17/2020)
RR
Arizona
(8/5/2020)
RR
Arkansas
(4/1/2019)
RR
Colorado
(4/1/2025)
RR
Connecticut
(10/10/2023)
RR
Florida
(1/31/2018)
IAR
Florida
(1/31/2018)
RR
Georgia
(11/12/2020)
RR
Illinois
(9/14/2022)
RR
Indiana
(6/3/2020)
RR
Kentucky
(7/21/2020)
RR
Maryland
(7/17/2020)
RR
New York
(8/20/2020)
RR
Oklahoma
(7/17/2020)
RR
Pennsylvania
(7/17/2020)
RR
Texas
(7/22/2020)
RR
Washington
(9/22/2020)
RR
West Virginia
(7/27/2020)

Exams


State Security Law Exam
IAR
Series 65
Date: 4/6/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 INTEGRITY ALLIANCE WRAP PROGRAM (9/16/2025)

Direct owners and executive officers


NamePositionCRD#
AMERICAN INDEPENDENT MARKETING, LLCDIRECT OWNER
AUKES, BRIAN EDWARDPRESIDENT2712193
BAKER, ANDREA KCHIEF FINANCIAL OFFICER/FINOP5533991
HECKLER, CARIE MARIECHIEF COMPLIANCE OFFICER4557559
MUJDZIC, BELMAOPERATIONS DIRECTOR4629710
OSBY, ANDREW ALLENCHIEF INVESTMENT OFFICER4202621

Regulatory assets under management


Total Number of Accounts14,148
AUM (Assets Under Management)$ 2,409,759,253

Disclosures


Regulatory Event3
Arbitration1

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#: 139627Weston, FL 33326

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