General Disclosures





As a member of the Securities Investor Protection Corporation (SIPC) funds are available to meet customer claims up to a maximum of $500,000 in cash and securities with a $250,000 cash maximum. Note SIPC provides coverage against loss of securities and cash, not against market depreciation, fluctuation in market value of your securities or a trading loss. Information regarding SIPC, including a SIPC brochure, may be obtained by contacting SIPC via its web site at or by telephone at (202) 371-8300.


FINRA BrokerCheck

FINRA BrokerCheck, allows investors to learn about the professional background, business practices, and conduct of FINRA member firms or their brokers. The telephone number of the BrokerCheck is (800) 289-9999, the website address is An investor brochure is also available upon request.


Customer Identification Program

Important Information About Procedures for doing business with Integral: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who makes an investment. What this means for you: When you make an investment, we will ask for your name, address, date of birth and other information that will allow us to identify you. We will also ask to see your driver’s license or other government issued identification.


Anti-Money Laundering Policy

Our AML policies, procedures and internal controls are designed to ensure compliance with all applicable BSA regulations and FINRA rules and will be reviewed and updated on a regular basis to ensure appropriate policies, procedures and internal controls are in place to account for both changes in regulations and changes in our business. The AML program includes, among other things, independent testing of the AML program pursuant to Section 352 of the USA PATRIOT Act and related regulations, and the establishment and operation of any customer identification program (“CIP”) required pursuant to Section 326 of the USA PATRIOT Act and related regulations Integral Wealth Securities LLC has established and implemented policies and procedures reasonably designed to comply with sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury (“U.S. Sanctions”). Integral Wealth Securities LLC will comply with all trade and economic sanctions imposed by the U.S. Office of Foreign Assets Control against targeted foreign countries and shall cooperate fully with government agencies, self-regulatory organizations and law enforcement officials. As provided by the Act, Integral Wealth Securities LLC may supply information about former, current or prospective customers to such bodies. Integral Wealth Securities LLC may refuse to open accounts for clients whose identity cannot be verified or who appear on the sanctions list.


Business Continuity Plan Summary

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

If there is a disruption in service you can reach us at (888) 799-8856, or by email at

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Integral believes this information to be reliable but is not responsible for, and makes no warranty with respect to the contents, accuracy, completeness, timeliness, suitability, or reliability of the information.