Rick J Wertheim

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

• 10/2015 → Present
  Independent Financial Group
  Rocklin, CA

Previous Registrations

• 2014-12-24 → 2015-09-29
  Ameriprise Financial Services, Llc
  Roseville, CA
• 2012-07-06 → 2015-01-02
  Cetera Wealth Services, Llc
  Roseville, CA
  Rancho Cordova, CA
• 2011-05-19 → 2012-07-10
  Woodbury Financial Services, Inc.
  Roseville, CA
  Roseville, CA
• 2008-02-15 → 2011-05-09
  Invest Financial Corporation
  Fresno, CA
  Roseville, CA

Other Businesses

(1) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 10/29/2015 ADDRESS: 1146 W Royal Palm Road, Phoenix AZ 85021, United States DESCRIPTION: (2) CA INSURANCE AGENT OFFERING THE SALE OF LIFE INSURANCE, HEALTH INSURANCE AND FIXED ANNUITIES SINCE 2015. NON-INVESTMENT RELATED. 5% TIME SPENT. BUSINESS CONDUCTED AT ADDRESS OF RECORD. (2) CAL POLY ALUM ASSOCIATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2017 ADDRESS: Various Locations, Primarily Virtual or Restaurant, United States DESCRIPTION: TREASURER FOR CAL POLY ALUMNI ASSOCIATION.

Exams

• S66 Uniform Combined State Law Examination
  2008-02-13