Victoria L. Breen

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CRD#: 870544

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.

Victoria Louise Breen, who also goes by VIctoria L. Derby, Victoria Louise Derby, Victoria Louise Derby-breen, Victoria L Snyder, Victoria Louise Snyder, was a registered financial professional .

Victoria is a previously registered financial professional and started their career in finance in 1979. Victoria had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Victoria L. Derby | Victoria Louise Derby | Victoria Louise Derby-Breen | Victoria L Snyder | Victoria Louise Snyder

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.

Ojai Valley Defense Fund; Not-Investment Related; P.O. Box 1255, Ojai, CA 93024; The Ojai Valley Defense Fund provides financial support to groups undertaking legal action to protect and sustain the environmental quality of the Ojai Valley for the public benefit. The purpose of this nonprofit charitable corporation is to receive and distribute contributions from individuals, estates, governmental bodies, corporations, foundations, and any other source for the benefit of the mission of the Ojai Valley Defense Fund. The OVDF is a non-profit public benefit Corporation and is not organized for the private gain of any person. It is organized under the California Non-Profit Public Benefit Corporation Law for public and charitable purposes.; Board Member; 09/16/2021; Approximately 5 hours per month devoted; 0 hours per month devoted during trading hours; Participate in board meetings; Participate in education and fund raising activities of the non-profit.

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

May 2, 2019 - November 2, 2023

INTEGRITY WEALTH ADVISORS, LLC

RIA

CRD#: 281708

Ojai, CA

Past

December 8, 2016 - May 1, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

Ojai, CA

Past

August 19, 2016 - December 12, 2016

FOOTHILL SECURITIES, INC.

RIA

CRD#: 1027

Ojai, CA

Past

April 17, 2015 - December 8, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

Ojai, CA

Past

September 4, 2009 - April 27, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

OJAI, CA

Past

April 23, 2008 - August 22, 2019

DERBY AND DERBY, INC.

RIA

CRD#: 137266

OJAI, CA

Past

December 15, 1994 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

OJAI, CA

Past

April 27, 1989 - December 15, 1994

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

February 8, 1988 - May 8, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

December 24, 1987 - February 23, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

July 11, 1985 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

September 20, 1983 - July 31, 1985

FSC SECURITIES CORPORATION

CRD#: 7461

Past

April 5, 1983 - September 13, 1983

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

Past

August 28, 1979 - December 22, 1982

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

August 28, 1979 - December 22, 1982

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

August 28, 1979 - December 22, 1982

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

INTEGRITY WEALTH ADVISORS, LLC

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/14/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 8/20/1979

Registered Representative Examination

Principal/Supervisory Exam

Series 51

Date: 5/28/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/3/1983

General Securities Principal Examination

Current Firm

INTEGRITY WEALTH ADVISORS, LLC

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

SEC notice filing (15 States and Territories)

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 Accounts	1,269
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.

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Firm Stability Insights

Victoria L. Breen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA, INC.

FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

DERBY AND DERBY, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

FINANCIAL WEST GROUP

U.S. ADVISORS, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

FSC SECURITIES CORPORATION

ENTERPRISE FUND DISTRIBUTORS, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

INTEGRITY WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/14/1990

SIE

Date: 10/1/2018

Series 7

Date: 2/19/1983

Series 1

Date: 8/20/1979

Series 51

Date: 5/28/2003

Series 24

Date: 8/3/1983

Current Firm

INTEGRITY WEALTH ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTEGRITY WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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