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
GR

Grace E. Rivera

Some features on this profile are disabled
CRD#: 4982458
GR

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.

Grace Esther Rivera, who also goes by Grace Esther Harris, was a registered financial professional .

Grace is a previously registered financial professional and started their career in finance in 2008. Grace had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Grace Esther Harris

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®
None

Experience

Past

October 15, 2018 - January 15, 2021

INTEGRITY WEALTH ADVISORS, LLC

RIA
CRD#: 281708
Camarillo, CA
Past

January 9, 2013 - November 1, 2016

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
WOODLAND HILLS, CA
Past

January 7, 2013 - October 31, 2016

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WOODLAND HILLS, CA
Past

July 30, 2012 - January 14, 2013

MORGAN STANLEY

RIA
CRD#: 149777
BEVERLY HILLS, CA
Past

July 27, 2012 - January 14, 2013

MORGAN STANLEY

BD
CRD#: 149777
BEVERLY HILLS, CA
Past

December 15, 2008 - July 9, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WOODLAND HILLS, CA
Past

May 7, 2008 - July 9, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WOODLAND HILLS, 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: 12/13/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/6/2008
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#: 281708

TRUST BUT VERIFY

Monitor Grace Rivera

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

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
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.