SN
Shelley L. Nadel
CSENGE ADVISORY GROUP
Houston, TX 77056
Some features on this profile are disabled
CRD#: 5513675
SN
Shelley Leavitt NadelCSENGE ADVISORY GROUP
Professional summary
Shelley Leavitt Nadel, CFP®, who also goes by Shelley Roxanne Leavitt, Shelley Nadel, is a registered financial advisor currently at CSENGE ADVISORY GROUP, LLC located in Houston, Texas and INTEGRITY ALLIANCE, LLC. located in Houston, Texas.
Shelley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Shelley has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Shelley Roxanne Leavitt | Shelley Nadel
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) FINANCIAL SUCCESS STRATEGIES, LLC POSITION: PRES. NATURE: It is an LLC which I use as a marketing name to conduct my insurance and SEC. business. INV. RELATED: No # OF HRS: 1 SEC. TRADING HRS: 0 START DATE: 07/15/2016 ADDRESS: 4431 WARM SPRINGS ROAD, HOUSTON TX 77035 DESC: I am a Registered Representative affiliated with Lion Street Financial, LLC. Financial Success Strategies is a marketing name that I use to promote my business; it is not affiliated with Lion Street Financial, LLC. 2) ONEHOUSTON FINANCIAL POSITION: I am appointed with OneHouston to sell their insurance products. NATURE: Ins. sales. INV RELATED: No # OF HOURS: 10 SEC. TRADING HOURS: 10 START DATE: 11/01/2020 ADDRESS: 1623 Meirwoods Drive, Spring TX 77379 DESC: When appropriate, I sell insurance strategies to clients as a part of their comprehensive financial plan. 3) FOOD AND FINANCE WITH SHELLEY LLC POSITION: Owner NATURE: F&FwS provides financial literacy education to employees of companies of various sizes. It serves two purposes for me as the owner of Financial Success Strategies, LLC. First, it creates a pipeline of prospective clients who hear me speak and decide to engage with me for financial planning. Second, it fulfills my passion for educating women about their money. I started F&F in 2021, and now we are starting to prospect for companies who will pay me to deliver the financial programs on a quarterly basis. There could be more revenue generating opportunities in the future as well. INV RELATED: No # OF HOURS: 40 SEC. TRADING HOURS: 20 START DATE: 08/01/2021 ADDRESS: 2636 South Loop West, Ste. 302, Houston TX 77054 DESC: I provide the literacy sessions and lead all marketing initiatives. I have a marketing team that helps me generate collateral, including website, videos, email, and social media. 4) CSENGE ADVISORY GROUP POSITION: Financial Advisor NATURE: All of my assets under management and trading activity flow through Csenge. INV RELATED: Yes # OF HOURS: 50 SEC TRADING HOURS: 40 START DATE: 09/01/2022 ADDRESS: 4755 E. Bay Drive, Clearwater FL 33764 DESC: I am an independent financial advisor under the umbrella of Radian Partners in Memphis. I represent the firm as their Houston Branch. In this role, I provide clients comprehensive financial planning services, including investment services thru Csenge. 5) FINANCIAL SUCCESS STRATEGIES, LLC POSITION: Owner NATURE: FSS is an LLC for I own that I formed in July of 2016. Until July of 2024, I used the LLC as a marketing name to conduct my insurance and SEC business. Going forward, I will remain the owner, but the LLC will only be used for tax purposes, INV RELATED: Yes # OF HOURS: 2 SEC TRADING HOURS: 2 START DATE: 07/15/2016 ADDRESS: 2636 S LOOP W, Ste. 302, Houston TX 77054 DESC: I am a financial advisor offering comprehensive financial planning services to my clients. 6) B&P NETWORKING GROUP POSITION: Volunteer NATURE: We are a volunteer run networking group for Jewish women in the Houston area. We operate under the umbrella of the Houston Jewish Federation, but we are not part of their staff or governing. We network and raise money for the Federation. INV RELATED: No # OF HOURS: 6 SEC TRADING HOURS: 2 START DATE: 12/09/2024 ADDRESS: Houston Jewish Federation, 5603 South Braeswood, Houston TX 77096 DESC: I am a Co-Social Chair for 2025- we are responsible for putting on 5-6 social events a year. Update: Starting January 1, I will move from Co-Social Chair to Co-Programming Chair. We put on 6 programs a year in conjunction with networking breakfasts. 7) RADIAN PARTNERS LLC POSITION: Owner NATURE: Financial planning, investments, insurance INV RELATED: Yes # OF HOURS: 160 SEC TRADING HOURS: 120 START DATE: 07/01/2025 ADDRESS: 2636 South Loop Wesr, Ste 302, Houston TX 77054 DESC: I provide comprehensive financial planning services, including investments and insurance planning.
CRS (Client Relationship Summary) - RIA
Click below to view Shelley Leavitt Nadel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shelley Leavitt Nadel'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®
CFP®
Start date: 2015
Experience
Current
September 7, 2021 - Present
CSENGE ADVISORY GROUP, LLC
Office #1: One Riverway Suite 2000, Houston, TX 77056RIA
CRD#: 131167
Houston, TX
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 2636 South Loop West Ste 302, Houston, TX 77054RIA
BD
CRD#: 139627
Houston, TX
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 2636 South Loop West Ste 302, Houston, TX 77054RIA
BD
CRD#: 139627
Houston, TX
Past
October 9, 2019 - November 3, 2025
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
HOUSTON, TX
Past
October 7, 2019 - October 7, 2019
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
HOUSTON, TX
Past
October 7, 2019 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Houston, TX
Past
July 13, 2016 - October 10, 2019
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
BLUFFTON, SC
Past
June 22, 2016 - June 23, 2016
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
BLUFFTON, SC
Past
June 22, 2016 - October 10, 2019
FSC SECURITIES CORPORATION
BD
CRD#: 7461
BLUFFTON, SC
Past
February 4, 2011 - May 27, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LAKE JACKSON, TX
Past
January 17, 2011 - May 27, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LAKE JACKSON, TX
Past
April 18, 2008 - December 10, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOUSTON, TX
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 | YODER FINANCIAL GROUP | WMBURT ADVISORS | WEALTHADVISORS GROUP | WEALTH RX | WEALTH PLANNING CONSULTANTS | WEALTH FORMAT SYSTEM | WEALTH CENTERS OF AMERICA | WALLACH FINANCIAL | TRUENORTH FINANCIAL | TRITON WEALTH STRATEGIES | TRIO WEALTH ADVISORY | TRANDAI FINANCIAL SOLUTIONS | TR FINANCIAL GROUP | THE LIMPERT GROUP | THE IFP GROUP, INC | THE FINANCIAL GROUP OF PHILADELPHIA | THE FINANCIAL ARCHITECTS | THE COWART GROUP | SWANSON FINANCIAL | SUMNER FINANCIAL SOLUTIONS, LLC | STEWART WEALTH ADVISORS | SOLOMON WEALTH SOLUTIONS, LLC | SHONSEY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS, LLC. | SAPIERS & WALLACK | 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 | REIGNMAKERS WEALTH ADVISORS | REIDY FINANCIAL | REFINED STRATEGIES | PREMIER INVESTMENT ADVISORS GROUP | PMN FINANCIAL ASSOCIATES | PLANNINGKAMP | PERSPECTIVE WEALTH PLANNING | PEARCE FINANCIAL SERVICES | PEAK360 WEALTH MANAGEMENT | PARADIGM GILBERT | PALOMA FINANCIAL SERVICES | OZARK FINANCIAL SERVICES OF NWA, INC. | OLIVE TREE WEALTH MANAGEMENT | OAKMONT GROUP | 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 PLANNING 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 | INCOME AND ESTATE PLANNING PARTNERS | HR WEALTH MANAGEMENT | HOWARD AND HOWARD, LLC. | HOOSIER ADVISOR AND ASSOCIATES | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | GREMLER WEALTH MANAGEMENT | GREAT RIVER INVESTMENT SERVICES, LLC. | GATEWAY RETIREMENT SOLUTIONS | GARDNER BROWN ASSOCIATES, INC | FUNDAMENTAL VALUE ANALYTICS | FREEDOM WEALTH GROUP | FREDERICKS WEALTH MANAGEMENT | FREDERICK W. STANSBERRY SOLUTIONS | FORESIGHT FINANCIAL GROUP | FLAH & COMPANY | FIORE TAX AND WEALTH MANAGEMENT | FINLEY DAVIS FINANCIAL GROUP | FINANCIAL INTEGRITY GROUP | FINANCIAL & ESTATE PLANNING SERVICES | FELICIANO FINANCIAL GROUP | ESCOBAR FINANCIAL SERVICES | EGHRARI WEALTH | E.R. INIGUEZ FINANCIAL GROUP | DUKE FINANCIAL PARTNERS, LLC | DENTDELIOUN, LLC | DANNY HORN FINANCIAL | CURTIS & ASSOCIATES, INC | CREUTZER FINANCIAL GROUP | CRESCENT WEALTH MANAGEMENT | COVERAGE SOLUTIONS | CONSOLIDATED FINANCIAL MANAGEMENT & TAX SERVICE | CG FINANCIAL GROUP | CARRICK FINANCIAL GROUP | CAPITAL PROTECT GROUP | CAPITAL GROUP, INC | CALIBRATE WEALTH PARTNERS | 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 | BRIDGE PARTNERS | BRANDT FINANCIAL SERVICES, INC. | BLUFFVIEW INSURANCE GROUP | BI FINANCIAL SERVICES | BELL FINANCIAL | B.I. FINANCIAL AND INSURANCE SERVICES, LLC | ARREOLA FINANCIAL | ARISGARDE | 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
California(11/3/2025)
RR
Florida(11/5/2025)
RR
Georgia(11/3/2025)
RR
Indiana(11/3/2025)
RR
New Mexico(11/3/2025)
RR
New York(11/3/2025)
RR
North Carolina(11/3/2025)
RR
Ohio(11/3/2025)
RR
Pennsylvania(11/3/2025)
IAR
Texas(9/7/2021)
RR
Texas(11/3/2025)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 4/17/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
Current Firm
IA
INTEGRITY ALLIANCE, LLC.
18TH STREET FINANCIAL | YODER FINANCIAL GROUP | WMBURT ADVISORS | WEALTHADVISORS GROUP | WEALTH RX | WEALTH PLANNING CONSULTANTS | WEALTH FORMAT SYSTEM | WEALTH CENTERS OF AMERICA | WALLACH FINANCIAL | TRUENORTH FINANCIAL | TRITON WEALTH STRATEGIES | TRIO WEALTH ADVISORY | TRANDAI FINANCIAL SOLUTIONS | TR FINANCIAL GROUP | THE LIMPERT GROUP | THE IFP GROUP, INC | THE FINANCIAL GROUP OF PHILADELPHIA | THE FINANCIAL ARCHITECTS | THE COWART GROUP | SWANSON FINANCIAL | SUMNER FINANCIAL SOLUTIONS, LLC | STEWART WEALTH ADVISORS | SOLOMON WEALTH SOLUTIONS, LLC | SHONSEY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS, LLC. | SAPIERS & WALLACK | 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 | REIGNMAKERS WEALTH ADVISORS | REIDY FINANCIAL | REFINED STRATEGIES | PREMIER INVESTMENT ADVISORS GROUP | PMN FINANCIAL ASSOCIATES | PLANNINGKAMP | PERSPECTIVE WEALTH PLANNING | PEARCE FINANCIAL SERVICES | PEAK360 WEALTH MANAGEMENT | PARADIGM GILBERT | PALOMA FINANCIAL SERVICES | OZARK FINANCIAL SERVICES OF NWA, INC. | OLIVE TREE WEALTH MANAGEMENT | OAKMONT GROUP | 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 PLANNING 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 | INCOME AND ESTATE PLANNING PARTNERS | HR WEALTH MANAGEMENT | HOWARD AND HOWARD, LLC. | HOOSIER ADVISOR AND ASSOCIATES | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | GREMLER WEALTH MANAGEMENT | GREAT RIVER INVESTMENT SERVICES, LLC. | GATEWAY RETIREMENT SOLUTIONS | GARDNER BROWN ASSOCIATES, INC | FUNDAMENTAL VALUE ANALYTICS | FREEDOM WEALTH GROUP | FREDERICKS WEALTH MANAGEMENT | FREDERICK W. STANSBERRY SOLUTIONS | FORESIGHT FINANCIAL GROUP | FLAH & COMPANY | FIORE TAX AND WEALTH MANAGEMENT | FINLEY DAVIS FINANCIAL GROUP | FINANCIAL INTEGRITY GROUP | FINANCIAL & ESTATE PLANNING SERVICES | FELICIANO FINANCIAL GROUP | ESCOBAR FINANCIAL SERVICES | EGHRARI WEALTH | E.R. INIGUEZ FINANCIAL GROUP | DUKE FINANCIAL PARTNERS, LLC | DENTDELIOUN, LLC | DANNY HORN FINANCIAL | CURTIS & ASSOCIATES, INC | CREUTZER FINANCIAL GROUP | CRESCENT WEALTH MANAGEMENT | COVERAGE SOLUTIONS | CONSOLIDATED FINANCIAL MANAGEMENT & TAX SERVICE | CG FINANCIAL GROUP | CARRICK FINANCIAL GROUP | CAPITAL PROTECT GROUP | CAPITAL GROUP, INC | CALIBRATE WEALTH PARTNERS | 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 | BRIDGE PARTNERS | BRANDT FINANCIAL SERVICES, INC. | BLUFFVIEW INSURANCE GROUP | BI FINANCIAL SERVICES | BELL FINANCIAL | B.I. FINANCIAL AND INSURANCE SERVICES, LLC | ARREOLA FINANCIAL | ARISGARDE | 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
400
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN INDEPENDENT MARKETING, LLC | DIRECT OWNER | |
| AUKES, BRIAN EDWARD | PRESIDENT | 2712193 |
| BAKER, ANDREA K | CHIEF FINANCIAL OFFICER/FINOP | 5533991 |
| MERLA, CHRISTOPHER AARON | HEAD OF OPERATIONS | 4790661 |
| MUJDZIC, BELMA | OPERATIONS DIRECTOR | 4629710 |
| OSBY, ANDREW ALLEN | CHIEF INVESTMENT OFFICER | 4202621 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
Regulatory assets under management
| Total Number of Accounts | 20,448 |
| AUM (Assets Under Management) | $ 5,411,976,879 |
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.
