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Current Employers
Independent Financial Group, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-05-01
CA RA APPROVED 2021-04-30
  • TX RA
    APPROVED_RES
    Since 2021-05-01
  • CA RA
    APPROVED
    Since 2021-04-30

Branch Locations

2200 Pacific Coast Highway Suite 306, Hermosa Beach, CA 90254 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Npb Financial Group, Llc Burbank CA 04/2009 04/2021
Independent Financial Group Manhanttan Beach CA 04/2021 Present
  • 04/2009 → 04/2021
    Npb Financial Group, Llc
    Burbank, CA
  • 04/2021 → Present
    Independent Financial Group
    Manhanttan Beach, CA
Previous Registrations
  • 2010-04-19 → 2021-05-03
    Npb Financial Group, Llc
    Burbank, CA
    Manhattan Beach, CA
    Manhattan Beach, CA
Other Businesses

(1) MATHEMATICS WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/30/2021 ADDRESS: 1500 Rosecrans Ave, #500, Manhattan Beach CA 90266, United States DESCRIPTION: 100% owner of DBA used for marketing purposes (2) NOTARY PUBLIC POSITION: Independent Contractor NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/30/2021 ADDRESS: 1500 Rosecrans Ave, #500, Manhattan Beach CA 90266, United States DESCRIPTION: Provide notary public service (3) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/26/2021 ADDRESS: 1500 Rosecrans Ave, #500, Manhattan Beach CA 90266, United States DESCRIPTION: Insurance agent offering various types of business. GINTOKI LLC POSITION: Owner. NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 0 START DATE: 11/22/2024 ADDRESS: 2200 Pacific Coast Hwy., Unit 306, Hermosa Beach CA 90254, United States DESCRIPTION: Bought office condo for own use so that I don't have to continue to pay increasing rent. Will eventually relocate branch office to this address once escrow closes.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-04-17
S63 Uniform Securities Agent State Law Examination 1998-12-08
  • S65 Uniform Investment Adviser Law Examination
    2010-04-17
  • S63 Uniform Securities Agent State Law Examination
    1998-12-08
Other Names
  • Rachel Thu Hoang
  • Rachel T Hoang

View on SEC IAPD

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