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JB

Joseph M. Baroni

Some features on this profile are disabled
CRD#: 4084527
JB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph M Baroni, CFP®, who also goes by Joseph M. Baroni, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 4 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 31, 2022 - December 31, 2025

INTEGRITY WEALTH ADVISORS, LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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)
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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#: 281708

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