2023077014001 Integral Wealth Securities LLC fka Amera Securities LLC CRD 36143 AWC gg (2025-1755476394604).pdf

Between April 2021 and February 2025, Integral Wealth Securities failed to timely file with FINRA offering documents related to 18 private placements, in violation of FINRA Rules 5123 and 2010. For these violations, Integral Wealth Securities is censured and fined $20,000.

2023079598001 Daniel Michael Roper CRD 6188279 AWC vr (2025-1755476394291).pdf

From October 2020 through January 2022, Roper engaged in various types of misconduct in connection with a profit-sharing agreement with a Schwab customer. Roper violated FINRA Rules 2150(c) and 2010 by directing the trades in the customer's account for a share of the customer's profits without receiving written authorization from Schwab or the customer.

Regulatory Notice 25-08

FINRA has adopted amendments to exempt business development companies (BDCs) from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from paragraph (b) (Spinning) of FINRA Rule 5131 (New Issue Allocations and Distributions). The amendments maintain the integrity of the public offering process while facilitating vibrant capital markets by expanding access to initial public offerings (IPOs) through a highly regulated entity. The amendments will become effective on July 23, 2025.

WECA

Wealth Equity Certified Advisor (WECA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization The Wealth Equity Certified Advisor Institute
Qualification and Training Requirements
Prerequisites

Candidates must have either a bachelor’s degree or five years of professional experience in the financial services industry.
Designation Training Requirements

Online, self-paced training courses
Designation Exam Type

Online, proctored certification exam
Continuing Education Requirements

20 hours annually
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

Online at Investor Complaint Portal
Published List of Disciplined Designees

None
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