AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JB

Joseph M. Baroni

INTEGRITY WEALTH ADVISORS
VENTURA, CA 93001
Some features on this profile are disabled
CRD#: 4084527
JB

Professional summary

Joseph M Baroni, CFP®, who also goes by Joseph M. Baroni, is a registered financial advisor currently at INTEGRITY WEALTH ADVISORS, LLC located in Ventura, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Joseph has worked at 4 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joseph M. Baroni

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.
ASSOCIATED MATERIAL RESOURCE, OWNER; PLASTICS- RAW MATERIALS; DURING BUSINESS HOURS- 0, AFTER BUSINESS HOURS- 2; RESPONSIBLE FOR ALL BUSINESS ASPECTS; VISALIA, CA; START DATE: 02/2016

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph M Baroni'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®
CFP®

Certified Financial Planner

Start date: 2005

Experience

Current

October 31, 2022 - Present

INTEGRITY WEALTH ADVISORS, LLC

Office #1: 196 S. Fir St. Suite 140, Ventura, CA 93001
RIA
CRD#: 281708
VENTURA, CA
Past

June 1, 2009 - July 5, 2017

MORGAN STANLEY

RIA
CRD#: 149777
VISALIA, CA
Past

June 1, 2009 - July 5, 2017

MORGAN STANLEY

BD
CRD#: 149777
VISALIA, CA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
VISALIA, CA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
VISALIA, CA
Past

March 16, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
VISALIA, CA
Past

March 27, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
VISALIA, 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".
IW
INTEGRITY WEALTH ADVISORS, LLC
CURT HOWARD WEALTH MANAGEMENT & INSURANCE SOLUTIONS (CHWMIS) | WAGNER FINANCIAL, INC. | WAGNER FINANCIAL | PUBLIC EMPLOYEE RETIREMENT CENTERS OF AMERICA (PERC) | LAFF FINANCIAL | INTEGRITY WEALTH ADVISORS, LLC | INTEGRITY WEALTH ADVISORS, INC. | DERBY AND DERBY

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)

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.

Highlighted states indicate IAR registrations

IAR
California
(10/31/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/4/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/26/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/17/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 1/31/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/2000
General Securities Representative Examination

Current Firm

IW
INTEGRITY WEALTH ADVISORS, LLC
CURT HOWARD WEALTH MANAGEMENT & INSURANCE SOLUTIONS (CHWMIS) | WAGNER FINANCIAL, INC. | WAGNER FINANCIAL | PUBLIC EMPLOYEE RETIREMENT CENTERS OF AMERICA (PERC) | LAFF FINANCIAL | INTEGRITY WEALTH ADVISORS, LLC | INTEGRITY WEALTH ADVISORS, INC. | DERBY AND DERBY

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)
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
196 S. Fir St. Suite 140, Ventura, CA 93001
Mailing Address
Phone number
(805) 339-0760
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (15 States and Territories)

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

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 Accounts1,269
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.

Company Information

INTEGRITY WEALTH ADVISORS, LLC

CRD#: 281708Ventura, CA 93001

TRUST BUT VERIFY

Monitor Joseph Baroni

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

SL
Sean LeonardAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
Camarillo, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics