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Ian William Buxbaum

Independent Financial Group, LLC

San Diego, CA

CRD 6614451

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-02-04
CA RA APPROVED 2021-02-01
  • TX RA
    APPROVED_RES
    Since 2021-02-04
  • CA RA
    APPROVED
    Since 2021-02-01

Branch Locations

12671 High Bluff Dr Ste 200, San Diego, CA 92130 • 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
Capital One Investing Wilmington DE 01/2016 09/2018
Capital One Advisors, Llc Wilmington DE 04/2017 09/2018
Commonwealth Financial Network San Diego CA 10/2018 11/2020
Independent Financial Group San Diego CA 02/2021 Present
Unemployed San Diego CA 12/2020 01/2021
  • 01/2016 → 09/2018
    Capital One Investing
    Wilmington, DE
  • 04/2017 → 09/2018
    Capital One Advisors, Llc
    Wilmington, DE
  • 10/2018 → 11/2020
    Commonwealth Financial Network
    San Diego, CA
  • 02/2021 → Present
    Independent Financial Group
    San Diego, CA
  • 12/2020 → 01/2021
    Unemployed
    San Diego, CA
Previous Registrations
  • 2018-10-17 → 2020-12-02
    Commonwealth Financial Network
    San Diego, CA
    San Diego, CA
  • 2017-04-25 → 2018-09-17
    Capital One Advisors, Llc
    Wilmington, DE
    Mclean, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-24
  • S66 Uniform Combined State Law Examination
    2017-04-24
Other Names
  • Ian Buxbaum

View on SEC IAPD

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