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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-02-25 |
Branch Locations
2035 Corte Del Nogal Ste. 150, Carlsbad, CA 92011 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Financial Group Llc | Irvine | CA | 03/2015 | Present |
(1) WEALTH MANAGEMENT GROUP POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/27/2017 ADDRESS: 2035 Corte Del Nogal, Suite 150, Carlsbad CA 92011, United States DESCRIPTION: REGISTERED ADMIN AT WEALTH MANAGEMENT GROUP USED FOR MARKETING PURPOSES. (2) INSURANCE POSITION: Non producing agent NATURE: Insurance outside of IFG INVESTMENT RELATED: YES NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/09/2012 ADDRESS: 2035 Corte Del Nogal, Suite 150, Carlsbad CA 92011, United States DESCRIPTION: CA INSURANCE AGENT OFFERING THE SALE OF VARIOUS INSURANCE PRODUCTS. (3) VICTORIA PLUM, LLC: NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 1415 Leland Way Escondido, CA 92026 DESCRIPTION: BUSINESS ENTITY FOR TAX PURPOSES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 2012-02-13 |
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