Brian Aukes has been President of Integrity Alliance since June 2016, is a control person of the firm and directly owns under 5% of it.
Integrity Alliance, LLC is an Urbandale, IA firm with $5.41B under management, 10,885 clients and 322 advisers across 129 offices, as of its May 2026 filing.
Brian Aukes’ longest registration is the current one, 12 years at Integrity Alliance since 2013. Before joining Integrity Alliance in 2013, Brian Aukes was registered through Ing Financial Partners, Inc and Piper Jaffray & Co.
- Integrity Advisory SolutionsAlso current– present · 1 yearUrbandale, IA · Adviser representative · Firm CRD 288817
- Integrity Alliance, LLCCurrent– present · 12 yearsUrbandale, IA · Adviser representative · Firm CRD 139627
- Ing Financial Partners, Inc– · 7 yearsDes Moines, IA · Adviser representative · Firm CRD 2882
- Piper Jaffray & Co.– · 5 yearsWest Des Moines, IA · Adviser representative · Firm CRD 665
Investment adviser representative registrations
Brian Aukes is registered as an investment adviser representative in Iowa, since December 2013.
- IowaSince 2 December 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 26 December 2013 |
| Series 24 | General Securities Principal Examination | 1 September 2006 |
| Series 65 | Uniform Investment Adviser Law Examination | 24 January 2001 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 20 January 1999 |
| Series 7 | General Securities Representative Examination | 19 June 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 March 1996 |
| Series 52 | Municipal Securities Representative Examination | 13 March 1996 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Municipal Securities Representative Examination
- Full name
- Brian Edward Aukes
- CRD
- 2712193
- Firm
- Integrity Alliance · CRD 139627
- Role
- President
- Office
- 4135 NW Urbandale Dr., Urbandale, IA 50322
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1996
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Brian Aukes work?
Brian Aukes has been President of Integrity Alliance, LLC since June 2016, and is a control person of the firm.
Is Brian Aukes a financial advisor?
Yes. Brian Aukes has a current investment-adviser registration in Iowa, through Integrity Alliance since December 2013.
How many years of experience does Brian Aukes have?
Brian Aukes has 30 years in the financial industry, since March 1996, across 4 adviser firms.
What exams has Brian Aukes passed?
Brian Aukes has passed 9 licensing exams: the Series 52, Series 63, Series 7, Series 8, Series 65, Series 24, Series 53, Series 10 and Series 9. The earliest, the Series 52, was passed in March 1996. FINRA credited Brian Aukes with the SIE, which began in October 2018.
Where did Brian Aukes work before Integrity Alliance?
Before Integrity Alliance, Brian Aukes was registered through Ing Financial Partners, Inc, June 2006 to December 2013; Piper Jaffray & Co., May 2001 to July 2006.
Where is Brian Aukes based?
Brian Aukes’ registered office is in Urbandale, IA.
Is Brian Aukes registered with FINRA?
Yes. Brian Aukes has a current broker registration, under CRD 2712193.
Source: FINRA BrokerCheck
How can I verify Brian Aukes’ record?
Search CRD 2712193 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Brian Aukes’ full registration record.
- Andrea BakerChief Financial Officer/FINOP
- Michelle StockmanChief Compliance Officer
- Christopher Aaron MerlaHead of Operations
- Belma MujdzicOperations Director
- Andrew OsbyChief Investment Officer