SE
Stephen L. Enoch
INTEGRITY ALLIANCE.
Nashville, TN
Some features on this profile are disabled
CRD#: 823163
SE
Professional summary
Stephen Lee Enoch, who also goes by Stephen L Enoch, Stephen Lee Enoch Sr, Steve Enoch, is a registered financial advisor currently at INTEGRITY ALLIANCE, LLC. located in Nashville, Tennessee.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Stephen has worked at 21 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen L Enoch | Stephen Lee Enoch Sr | Steve Enoch
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.ENOCH PROPERTIES LLC POSITION: Owner NATURE: Owns the family farm INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/20/2007 ADDRESS: 1004 West Ave, Richmond VA 23220, United States DESCRIPTION: own one third of the family farm 2.BAD BOOT PRODUCTIONS POSITION: Owner NATURE: Owns the intellectual property of the late Lewis Grizzard INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1992 ADDRESS: 1870 The Exchange SE, Suite 200, Atlanta GA 30339, United States DESCRIPTION: Vice-President 3.BLUFFVIEW INSURANCE GROUP POSITION: Owner NATURE: I sell life insurance and annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 160 START DATE: 03/01/2025 ADDRESS: 901 Mountain Creek Road, suite 201, Chattanooga TN 37405, United States DESCRIPTION: I sell life insurance and annuities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Lee Enoch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Lee Enoch'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®
NoneExperience
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
RIA
BD
CRD#: 139627
Nashville, TN
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
RIA
BD
CRD#: 139627
Nashville, TN
Past
November 20, 2023 - November 3, 2025
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
Nashville, TN
Past
November 15, 2023 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Nashville, TN
Past
May 15, 2023 - December 8, 2023
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
Covington, KY
Past
July 17, 2020 - December 22, 2021
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
BIRMINGHAM, AL
Past
July 17, 2020 - December 22, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Birmingham, AL
Past
January 27, 2016 - July 17, 2020
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
ATLANTA, GA
Past
January 7, 2016 - July 17, 2020
INVESTACORP, INC.
BD
CRD#: 7684
ATLANTA, GA
Past
February 12, 2015 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
ATLANTA, GA
Past
January 28, 2015 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
ATLANTA, GA
Past
July 21, 2014 - December 9, 2014
DIVERGENT ASSET ADVISORS, LLC
RIA
CRD#: 167336
ATLANTA, GA
Past
January 24, 2012 - October 24, 2014
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
ATLANTA, GA
Past
January 24, 2012 - October 24, 2014
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
ATLANTA, GA
Past
May 22, 2008 - December 31, 2011
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
NASHVILLE, TN
Past
May 20, 2008 - December 31, 2011
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
NASHVILLE, TN
Past
May 16, 2007 - May 16, 2008
MM ASCEND LIFE INVESTOR SERVICES, LLC
RIA
CRD#: 36451
GLEN ALLEN, VA
Past
March 6, 2007 - May 16, 2008
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
July 28, 2006 - June 6, 2007
VERNON MANAGEMENT GROUP, INCORPORATED
RIA
CRD#: 117666
RICHM0ND, VA
Past
June 2, 2005 - July 17, 2006
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
NEW YORK CITY, NY
Past
January 22, 2003 - June 3, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ATLANTA , GA
Past
September 19, 2001 - June 3, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
February 16, 2001 - September 13, 2001
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 16, 2001 - September 13, 2001
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
July 8, 1998 - March 30, 2001
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
January 29, 1998 - July 1, 1998
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
January 29, 1998 - August 3, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
November 1, 1996 - November 26, 1997
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
February 14, 1995 - October 31, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
February 14, 1995 - October 31, 1996
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
October 20, 1980 - November 23, 1994
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
October 13, 1978 - November 23, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
June 10, 1976 - July 9, 1978
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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
Kentucky(11/3/2025)
RR
South Carolina(11/3/2025)
RR
Tennessee(11/3/2025)
IAR
Tennessee(11/3/2025)
RR
Virginia(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/8/1976
Registered Representative ExaminationSRO 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)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 14,148 |
| AUM (Assets Under Management) | $ 2,409,759,253 |
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.
