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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-03-27 |
| WA | RA | APPROVED | 2008-10-27 |
Branch Locations
12671 High Bluff Drive Suite 200, San Diego, CA 92130 • UNITED STATES
12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
155 Ne 100Th St Ste 403, Seattle, WA 98125 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Financial Group Llc | San Diego | CA | 10/2008 | Present |
(1) U&T RISK MANAGEMENT & INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 10/10/2008 ADDRESS: 155 Ne 100th St, Ste 403, Seattle WA 98125, United States DESCRIPTION: WA INSURANCE AGENT, DBA U&T RISK MANAGEMENT & INSURANCE OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) U&T FIANCIAL POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/10/2008 ADDRESS: 155 Ne 100th St, Ste 403, Seattle WA 98125, United States DESCRIPTION: 50% OWNER OFDBA U&T CAPITAL MANAGEMENT, INC USED FOR MARKETING PURPSOSES (3) U&T GLOBAL CONSULTING POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/30/2013 ADDRESS: 155 NE 100th Street, Suite 403, Seattle WA 98125, United States DESCRIPTION: 50% OWNER OF U&T GLOBAL CONSULTING OFFERING REAL ESTATE INVESTMENT CONSULTING U&T FINANCIAL/YONG CHANG LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/13/2024 ADDRESS: 14007 45th Dr SE, Snohomish WA 98296, United States DESCRIPTION: The owner of a single-member LLC. PIERCE COUNTY POSITION: Volunteer NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 16 START DATE: 12/06/2024 ADDRESS: 155 Ne 100th St, Ste 403, Seattle WA 98125, United States DESCRIPTION: Instructor for the business workshop that Pierce County has organized to support Korean small business owners in the area.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-30 |
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