Individual Firm
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MICHAEL DEAN LISLE
MIKE LISLE
CRD#: 3014232
IA
B
INTEGRITY ALLIANCE, LLCCRD#: 139627 185 W Pine St
Platteville, WI 53818
Platteville, WI 53818
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4/14/2020
Customer Dispute
Denied
5/21/2004
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 3/26/2020
B
Missouri 3/26/2020
B
California 3/26/2020
B
Montana 10/21/2020
B
Colorado 3/26/2020
B
Nebraska 3/26/2020
B
Florida 3/26/2020
B
North Carolina 12/14/2022
B
Illinois 3/26/2020
B
Pennsylvania 12/22/2021
B
Iowa 3/26/2020
B
Texas 2/10/2022
B
Kansas 7/15/2021
B
Wisconsin 3/26/2020
B
Michigan 1/28/2021
IA
Wisconsin 3/26/2020
B
Minnesota 4/24/2020
SRO Registrations
B
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IA
Registered with this firm since 3/26/2020
B
Registered with this firm since 3/26/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/05/2007 - 03/05/2020 | PLATTEVILLE, WI | |
B | 03/25/1998 - 03/05/2020 | PLATTEVILLE, WI | |
IA | 09/21/2005 - 09/21/2005 | PLATTEVILLE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.