Brett M Gatta

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:

Current Employers

Independent Financial Group, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-12-24

FL RA
APPROVED

Since 2025-12-24

Branch Locations

Miami, FL • 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

Organization	City	State	From	To
Nyang	Scotia	NY	03/2006	Present
Morgan Stanley Private Bank, National Association	New York	NY	12/2013	10/2016
Wealth Advisory Group Llc	Latham	NY	10/2016	02/2019
Park Avenue Securities Llc	Latham	NY	10/2016	02/2019
Guardian Life Insurance Company	Latham	NY	10/2016	02/2019
Pfg Advisors, Llc	Peoria	AZ	02/2019	08/2020
Securities America, Inc.	Poway	CA	02/2019	08/2020
Independent Financial Group	Miami	FL	08/2020	Present

03/2006 → Present

Nyang

Scotia, NY
12/2013 → 10/2016

Morgan Stanley Private Bank, National Association

New York, NY
10/2016 → 02/2019

Wealth Advisory Group Llc

Latham, NY
10/2016 → 02/2019

Park Avenue Securities Llc

Latham, NY
10/2016 → 02/2019

Guardian Life Insurance Company

Latham, NY
02/2019 → 08/2020

Pfg Advisors, Llc

Peoria, AZ
02/2019 → 08/2020

Securities America, Inc.

Poway, CA
08/2020 → Present

Independent Financial Group

Miami, FL

Previous Registrations

2019-02-06 → 2020-07-31

Pfg Advisors

Poway, CA
2016-10-17 → 2018-12-31

Park Avenue Securities Llc

Latham, NY
2014-01-29 → 2016-10-28

Morgan Stanley

Latham, NY

Albany, NY

Other Businesses

(1) MYRIDE, LLC POSITION: Co-Owner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 07/17/2017 ADDRESS: 1 Callaghan Blvd, Malta NY 12020, United States DESCRIPTION: 50% passive owner of transportation company (2) NEW YORK AIR NATIONAL GUARD POSITION: Employee NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2006 ADDRESS: 1 Air National Guard Rd, Scotia NY 12302, United States DESCRIPTION: Load and unload aircraft (3) PRONOVA BG LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 26 START DATE: 09/30/2021 ADDRESS: 690 Sw 1st Ct, Ph Ii 19, Miami FL 33130, United States DESCRIPTION: DBA for financial practice under IFG.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-01-24
S63	Uniform Securities Agent State Law Examination	2012-04-27

S65 Uniform Investment Adviser Law Examination

2014-01-24
S63 Uniform Securities Agent State Law Examination

2012-04-27

Other Names

Brett Gatta

View on SEC IAPD