| Christine Mitchell Mccafferty | Forethought Investments unclassified | Integrity Alliance, LLC independent RIA | Other | Aug 1, 2018 | Aug 31, 2018 |
| Eric John Rickert | Mutual Of Omaha Investor Services, Inc. no RAUM | Integrity Alliance, LLC independent RIA | Other | Jun 21, 2018 | Oct 2, 2019 (468 d) |
| Brian Paul Eisbach | Investment Advisors Corp BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 14, 2018 | Jan 29, 2019 (260 d) |
| Theodore Edward Boyes | Kestra Advisory Services, LLC BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 4, 2018 | May 7, 2018 |
| Peter William Brock | Principal Securities, Inc. BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2018 | Apr 20, 2018 |
| Michael Joseph Lucia | H. Beck, Inc. BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 20, 2018 | Apr 3, 2018 |
| Steven James Sandberg | Cpr Investments Inc independent RIA | Integrity Alliance, LLC independent RIA | RIA to RIA | Apr 19, 2018 | May 3, 2018 |
| Lenny Ray Martinez | Secure Investment Management, LLC other | Integrity Alliance, LLC independent RIA | Other | Mar 28, 2018 | Feb 8, 2018 |
| Lorilee Hoalst Jones | Cetera Advisors LLC other | Integrity Alliance, LLC independent RIA | Other | Mar 13, 2018 | Feb 28, 2018 |
| Layne Virgil Monroe | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC independent RIA | Other | Feb 20, 2018 | Feb 22, 2018 |
| Paul Martin Walkington | B. Riley Wealth Advisors, Inc. BD affiliated | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2018 | Feb 13, 2018 |
| Daniel Jacob Arreola | Osaic Fa, Inc. other | Integrity Alliance, LLC independent RIA | Other | Jan 24, 2018 | Jan 10, 2018 |
| Edward B. Calderin | UBS Financial Services Inc. wirehouse | Integrity Alliance, LLC independent RIA | Wirehouse to independent RIA | Jan 16, 2018 | Sep 26, 2019 (618 d) |
| Daniel Robert Lodes | Kovack Advisors, Inc. other | Integrity Alliance, LLC other | Other | Jan 2, 2018 | Dec 11, 2017 |
| Robert Hall Lane | Osaic Wealth, Inc. BD affiliated | Integrity Alliance, LLC other | Other | Dec 5, 2017 | Dec 4, 2017 |
| Tami J. Simpson | Sgl Financial, LLC other | Integrity Alliance, LLC other | Other | Nov 29, 2017 | May 12, 2017 |
| Tara Ashley Sanders | Questar Asset Management, Inc. other | Integrity Alliance, LLC other | Other | Nov 21, 2017 | Dec 14, 2017 |
| Justin Thomas Pierce | Nova Financial Services other | Integrity Alliance, LLC independent RIA | Other | Oct 23, 2017 | Jul 23, 2018 (273 d) |
| David Leo Duggan | Brookstone Capital Management LLC other | Integrity Alliance, LLC other | Other | Oct 19, 2017 | Oct 19, 2017 |
| Peter George Pecci | Allstate Financial Advisors, LLC no RAUM | Integrity Alliance, LLC independent RIA | Other | Oct 19, 2017 | Jan 31, 2018 (104 d) |
| Belma Mujdzic | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC other | Other | Oct 9, 2017 | Oct 18, 2017 |
| Daniel James Rundahl | Thrivent Investment Management Inc. other | Integrity Alliance, LLC independent RIA | Other | Sep 6, 2017 | Jan 18, 2018 (134 d) |
| Howard Raymond Solomon | Next Financial Group, Inc. other | Integrity Alliance, LLC other | Other | Sep 5, 2017 | Sep 8, 2017 |
| Edward Carl Ittner | Next Financial Group, Inc. other | Integrity Alliance, LLC other | Other | Sep 5, 2017 | Sep 6, 2017 |
| Diana M Longo | Next Financial Group, Inc. other | Integrity Alliance, LLC other | Other | Sep 1, 2017 | Sep 8, 2017 |
| Christopher Robert Stewart | Osaic Fs, Inc. other | Integrity Alliance, LLC other | Other | Aug 25, 2017 | Aug 16, 2017 |
| Jeremy Dillon Baldwin | Wilbanks Securities Advisory other | Integrity Alliance, LLC other | Other | Aug 4, 2017 | Aug 7, 2017 |
| Danny D Horn | Stonex Advisors Inc. other | Integrity Alliance, LLC other | Other | Aug 1, 2017 | Aug 1, 2017 |
| Christopher Hays Wilkinson | Waddell & Reed other | Integrity Alliance, LLC other | Other | Jun 27, 2017 | Sep 12, 2017 (77 d) |
| Andrew T Pudenz | Ameriprise Financial Services, LLC national BD | Integrity Alliance, LLC other | Other | Mar 6, 2017 | Mar 6, 2017 |
| Charles Anderson Cumber | Wells Fargo Advisors wirehouse | Integrity Alliance, LLC other | Other | Mar 3, 2017 | Apr 20, 2017 (48 d) |
| Joseph Michael Yocavitch | Park Avenue Securities LLC other | Integrity Alliance, LLC other | Other | Dec 31, 2016 | Jan 10, 2017 |
| Robert Ralph Martini | Madison Avenue Securities, LLC other | Integrity Alliance, LLC independent RIA | Other | Dec 31, 2016 | Oct 5, 2022 (2104 d) |
| Nathaniel Larue Reeder | Investment Advisors Corp other | Integrity Alliance, LLC other | Other | Dec 31, 2016 | Jan 3, 2017 |
| Steven Douglas Davis | D. Craig Mckenna Advisors, Inc. unclassified | Integrity Alliance, LLC other | Other | Dec 31, 2016 | Jan 31, 2017 (31 d) |
| Andrew Allen Osby | Principal Securities, Inc. other | Integrity Alliance, LLC other | Other | Oct 18, 2016 | Oct 17, 2016 |
| Aaron Joseph Peterson | Vsr Advisory Services other | Integrity Alliance, LLC other | Other | Jul 12, 2016 | Jul 12, 2016 |
| Jarrett Sheets | Vsr Advisory Services other | Integrity Alliance, LLC other | Other | Jun 30, 2016 | Jun 30, 2016 |
| Mark Edward Ganter | Transamerica Financial Advisors, LLC other | Integrity Alliance, LLC other | Other | May 11, 2016 | May 10, 2016 |
| Pamela Kay Weaver | Nfp Advisor Services, LLC other | Integrity Alliance, LLC other | Other | Mar 17, 2016 | Mar 17, 2016 |
| Sanford Michael Fisch | 1st Global Advisors Inc other | Integrity Alliance, LLC independent RIA | Other | Mar 1, 2016 | Nov 29, 2023 (2829 d) |
| Angel Richelle Way | Harvest Financial Group, LLC other | Integrity Alliance, LLC other | Other | Dec 22, 2015 | Nov 5, 2015 |
| George Elias | Harvest Financial Group, LLC other | Integrity Alliance, LLC other | Other | Oct 13, 2015 | Sep 8, 2015 |
| Menachem Nahum Daniels | LPL Financial LLC other | Integrity Alliance, LLC other | Other | Aug 25, 2015 | Aug 7, 2015 |
| Joseph Edward Ward | Questar Asset Management, Inc. other | Integrity Alliance, LLC other | Other | Jun 23, 2015 | Jun 25, 2015 |
| Sarah Jeanette Saum | Associated Capital Management, LLC unclassified | Integrity Alliance, LLC other | Other | Mar 31, 2015 | Dec 21, 2016 (631 d) |
| Brian Alan Ambrose | Creativeone Securities, LLC other | Integrity Alliance, LLC other | Other | Mar 5, 2015 | Mar 5, 2015 |
| Terrence F O'Reilly | Coppell Advisory Solutions LLC other | Integrity Alliance, LLC other | Other | Jan 26, 2015 | Jan 27, 2015 |
| Gregory Nondas Roumpos | Solitude Wealth Advisors, LLC. state registered | Integrity Alliance, LLC other | Other | Dec 31, 2014 | Jul 31, 2007 |
| Shawn Donavan Swanson | Sterne Agee Investment Advisor Services, Inc. other | Integrity Alliance, LLC other | Other | Dec 31, 2014 | Jan 2, 2015 |
| Deana Kay Howard | Planmember Securities Corporation other | Integrity Alliance, LLC other | Other | Aug 28, 2014 | Aug 25, 2014 |
| Kevin Patrick Pearce | Mutual Of Omaha Investor Services, Inc. no RAUM | Integrity Alliance, LLC other | Other | Jan 24, 2014 | Feb 12, 2014 |
| Keith Joseph Richardel | Msi Financial Services, Inc. other | Integrity Alliance, LLC other | Other | Jan 2, 2014 | Aug 29, 2014 (239 d) |
| Brian Edward Aukes | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC other | Other | Dec 2, 2013 | Dec 2, 2013 |
| Eduardo Rafael Iniguez | J P Turner & Company Capital Management, LLC other | Integrity Alliance, LLC other | Other | Oct 17, 2013 | Nov 5, 2013 |
| Allen Parnell Hargis | High Street Asset Management, LLC unclassified | Integrity Alliance, LLC other | Other | Aug 6, 2013 | Sep 10, 2013 (35 d) |
| Andrew Thomas Hansen | USA Financial Securities LLC other | Integrity Alliance, LLC other | Other | Jul 10, 2013 | Jul 15, 2013 |
| David Alan Henry | Principal Securities, Inc. other | Integrity Alliance, LLC other | Other | Jun 13, 2013 | Jun 10, 2013 |
| Robert Frederick Schimeneck | Park Avenue Securities LLC other | Integrity Alliance, LLC other | Other | May 29, 2013 | Jun 5, 2013 |
| Daniel Richard Garvin | First Allied Advisory Services, Inc. other | Integrity Alliance, LLC other | Other | Apr 1, 2013 | Mar 26, 2013 |