Brett Stephen Williams

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → 12/2018
  Equity Fund Advisors
  Phoenix, AZ
• 06/2015 → 12/2018
  Cole Capital Corporation
  Phoenix, AZ
• 03/2019 → 12/2019
  Ptx Securities, Llc
  Plano, TX
• 12/2019 → 10/2023
  Sealy Investment Securities, Llc
  Dallas, TX
• 02/2024 → Present
  Independent Financial Group Llc
  Exton, PA
• 10/2023 → 02/2024
  Unemployed
  Allentown, NJ

Other Businesses

(1) WILLIAMS-HAYES PARTNERS LLC WITH PROPERTIES, STARTED 2005, 2HRS MONTHLY, 100% OWNERSHIP. (2) UPPER FREEHOLD REGIONAL MENS SOFTBALL LEAGUE, INC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2024. ADDRESS: 9 Sleepy Hollow Ct, Allentown NJ 08501, United States. DESCRIPTION: Run Men's League. Financial Decisions for the Business. (3) UFRSD BOARD OF EDUCATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 26 High St, Allentown NJ 08501, United States DESCRIPTION: Part of a four-person finance committee working with the BA to recommend decision to a 9-person bord of education. (4) WILLIAMS BROTHERS PROPERTIES, LLC POSITION: Managing Partner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2007 ADDRESS: 9 Sleepy Hollow CT, Allentown NJ 08501, United States DESCRIPTION: Basic property management, Rental Income, Expenses (5) WILLIAMS HAYES PARTNERS, LLC POSITION: Managing Partner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2007 ADDRESS: 9 Sleepy Hollow CT, Allentown NJ 08501, United States DESCRIPTION: Basic Property Management, Rental Income, Expenses (6) WILLIAMS PRIVATE WEALTH MANAGEMENT POSITION: President / Managing Partner NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 75 SECURITIES TRADING HOURS: 75 START DATE: 02/01/2024 ADDRESS: 237 W Lincoln Hwy, Exton PA 19341, United States DESCRIPTION: Manage clients financial plans (7) LEO MORTGAGE, INC POSITION: Agent/Representative NATURE: Mortgage Lending Services INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2024 ADDRESS: 921 A Bethlehem Pike, Suite 208, Ambler PA 19002, United States DESCRIPTION: Mortgage Lending. (8) CONCENTRATED INVESTMENTS, LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 20 START DATE: 06/20/2024 ADDRESS: 237 W Lincoln Hwy, Exton PA 19341, United States DESCRIPTION: Financial Planning UPS POSITION: Employee NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 11/25/2024 ADDRESS: 100 Middlesex Center Blvd, Monroe Township NJ 08831, United States DESCRIPTION: Delivery UPS DRC FINANCIAL SERVICES, LLC POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 40 START DATE: 04/01/2025 ADDRESS: 4006 Skippack Pike, Skippack PA 19474, United States DESCRIPTION: Utilize DRC Financial for email communication, letters and qtrly statements to clients, letterhead, and future client events.

Exams

• S66 Uniform Combined State Law Examination
  2023-11-22
• S63 Uniform Securities Agent State Law Examination
  2002-08-28