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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

STEVEN JAMES SANDBERG

Advisor at INTEGRITY ALLIANCE, LLC

Palm Beach Gardens, FL | Weston, FL

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Search this name across graphsid dfx:ria:9214c97b-c668-00a3-3ef6-9d03f103a805

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Jul 12, 1999 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INTEGRITY ALLIANCE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 17, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 17, 1991
First registration: Jul 12, 1999
Dual registered: yes, broker-dealer
Other names: STEVEN J SANDBERG|STEVEN JAMES SANDBERG|STEVEN SANDBERG
IAPD individual key: 2137040

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INTEGRITY ALLIANCE, LLC	Bd affiliated wealth	May 3, 2018	n/a	yes	Weston, FL\|Palm Beach Gardens, FL	Current employment
CPR INVESTMENTS INC	Independent wealth	Jan 26, 2018	Apr 19, 2018	no	Palm Beach Gardens, FL\|ROCHESTER, MI	Previous registration
ISC ADVISORS, INC.	Mixed wealth	Oct 13, 2015	Jun 9, 2017	no	Palm Beach Gardens, FL\|DALLAS, TX	Previous registration
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	Former SEC adviser	May 4, 2015	Sep 25, 2015	no	PALM BEACH GARDENS, FL\|PETALUMA, CA	Previous registration
HIGH STREET ASSET MANAGEMENT, LLC	n/a	Mar 4, 2015	Apr 16, 2015	no	PALM BEACH GARDENS, FL\|HOT SPRINGS, AR	Previous registration
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	Former SEC adviser	Jan 15, 2013	Jan 2, 2014	no	PALM BEACH GARDENS, FL\|PETALUMA, CA	Previous registration
GWN SECURITIES INC.	Bd affiliated wealth	Feb 26, 2010	Dec 31, 2011	no	PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Apr 11, 2006	May 4, 2009	no	NORTH PALM BEACH, FL	Previous registration
USALLIANZ SECURITIES, INC.	n/a	Jan 21, 2004	May 22, 2006	no	SHOREVIEW, MN\|NORTH PALM BEACH, FL\|ROCKLEDGE, FL	Previous registration
LEGACY ADVISORY SERVICES, INC.	n/a	Jul 12, 1999	Dec 31, 2003	no	NORTH PALM BEACH, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CPR INVESTMENTS INC	INTEGRITY ALLIANCE, LLC	Apr 19, 2018	May 3, 2018	14	Firm change	RIA to RIA
ISC ADVISORS, INC.	CPR INVESTMENTS INC	Jun 9, 2017	Jan 26, 2018	231	Firm change	Other
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	ISC ADVISORS, INC.	Sep 25, 2015	Oct 13, 2015	18	Firm change	Other
HIGH STREET ASSET MANAGEMENT, LLC	ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	Apr 16, 2015	May 4, 2015	18	Firm change	Other
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	HIGH STREET ASSET MANAGEMENT, LLC	Jan 2, 2014	Mar 4, 2015	426	Firm change after gap	Other
GWN SECURITIES INC.	ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	Dec 31, 2011	Jan 15, 2013	381	Firm change	Other
QUESTAR ASSET MANAGEMENT, INC.	GWN SECURITIES INC.	May 4, 2009	Feb 26, 2010	298	Firm change	Other
USALLIANZ SECURITIES, INC.	QUESTAR ASSET MANAGEMENT, INC.	May 22, 2006	Apr 11, 2006	-41	Firm change after gap	Other
LEGACY ADVISORY SERVICES, INC.	USALLIANZ SECURITIES, INC.	Dec 31, 2003	Jan 21, 2004	21	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
154981:162143:AR:2015-04-16	Apr 16, 2015	May 4, 2015	HOT SPRINGS, AR	Firm change

Relationships

Registered with (9)

→ INTEGRITY ALLIANCE, LLCRegistered adviserregistration: current employment
May 3, 2018 to presentfactForm ADV
→ CPR INVESTMENTS INCRegistered adviserregistration: previous registration
Jan 26, 2018 to Apr 19, 2018factForm ADV
→ ISC ADVISORS, INC.Registered adviserregistration: previous registration
Oct 13, 2015 to Jun 9, 2017factForm ADV
→ ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 4, 2015 to Sep 25, 2015factForm ADV
→ HIGH STREET ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 4, 2015 to Apr 16, 2015factForm ADV
→ GWN SECURITIES INC.Registered adviserregistration: previous registration
Feb 26, 2010 to Dec 31, 2011factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 11, 2006 to May 4, 2009factForm ADV
→ USALLIANZ SECURITIES, INC.Registered adviserregistration: previous registration
Jan 21, 2004 to May 22, 2006factForm ADV
→ LEGACY ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 12, 1999 to Dec 31, 2003factForm ADV

Dated events

No dated event names this entity yet.