Ernest James Cox

Employer firm

Independent Financial Group, LLC CRD 7717

$12.9B regulatory AUM 301 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Independent Financial Group, Llc

12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2016-04-20

CA RA
APPROVED

Since 2016-04-20

Branch Locations

Indio, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Independent Financial Group, Llc	La Quinta	CA	04/2016	Present
Scott Braun Realty	Bermuda Dunes	CA	02/2024	Present

04/2016 → Present

Independent Financial Group, Llc

La Quinta, CA
02/2024 → Present

Scott Braun Realty

Bermuda Dunes, CA

Previous Registrations

2016-02-29 → 2016-03-02

Kestra Investment Services, Llc

Laquinta, CA

Austin, TX
2005-03-15 → 2016-02-29

Commonwealth Financial Network

La Quinta, CA
2001-05-08 → 2005-03-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indian Wells, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-04-30

S66 Uniform Combined State Law Examination

2001-04-30

Other Names

Ernest J Cox

View on SEC IAPD