Chief Compliance Officer · Integrity Alliance, LLC
Michelle Renee Stockman
CRD 5010490 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Integrity Alliance, LLC, an SEC-registered broker-dealer firm based in Urbandale, IA with $5.4 billion in regulatory assets, lists Michelle Renee Stockman on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Michelle at 1 other registered adviser.
Firms and roles
- Integrity Alliance, LLCChief Compliance OfficerBroker-dealer firm · Urbandale, IA · $5.4B in regulatory assets
- Integrity Advisory SolutionsChief Compliance OfficerWealth manager · Dallas, TX · $1.1B in regulatory assets
AtlasMembers
Michelle’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2007 (18 years)
- Designations
- Certified Financial Planner
- Exams
- Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Michelle’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 4 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Andrew Allen OsbyChief Investment Officer, Integrity Alliance, LLC
- Brian Edward AukesPresident, Integrity Alliance, LLC
- Belma MujdzicOperations Director, Integrity Alliance, LLC
- Andrea K BakerChief Financial Officer/finop, Integrity Alliance, LLC
- Christopher Aaron MerlaHead of Operations, Integrity Alliance, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Michelle’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.