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Independent Financial Group, LLC CRD 7717
$12.9B regulatory AUM 301 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-01-06 |
| CA | RA | APPROVED | 2020-07-10 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Berkeley | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Berkeley | CA | 11/2016 | 07/2020 |
| Independent Financial Group | San Francisco | CA | 07/2020 | Present |
(1) WENDY ENG TRUST POSITION: Trustee NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2020 ADDRESS: 46 Iris Ave, San Francisco CA 94118, United States DESCRIPTION: Trustee for trust that owns real estate properties and receives rental income. (2) ENG WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 140 START DATE: 07/01/2020 ADDRESS: 2001 Addison St., #338, Berkeley CA 94704, United States DESCRIPTION: 100% owner of DBA used to market securities and advisory business.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-03-31 |
| S65 | Uniform Investment Adviser Law Examination | 1998-03-07 |
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