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Current Employers
Independent Financial Group, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-09-25
CA RA APPROVED 2009-06-03
  • TX RA
    APPROVED
    Since 2018-09-25
  • CA RA
    APPROVED
    Since 2009-06-03

Branch Locations

2035 Corte Del Nogal Ste. 150, Carlsbad, CA 92011 • 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
Independent Financial Group San Diego CA 06/2009 Present
  • 06/2009 → Present
    Independent Financial Group
    San Diego, CA
Previous Registrations
  • 2004-11-22 → 2009-06-04
    Woodbury Financial Services, Inc.
    Carlsbad, CA
    Carlsbad, CA
Other Businesses

(1) SOLUTIONS FOR CHANGE POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 722 W. California Ave., Vista CA 92083, United States DESCRIPTION: MEMBER OF BOARD OF DIRECTORS FOR SOLUTIONS FOR CHANGE, A NON-PROFIT PROVIDING SOLUTIONS FOR HOMELESSNESS (2) RENTAL PROPERTY POSITION: Owner NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1993 ADDRESS: 2928 Rancho Brasado, Carlsbad CA 92009, United States DESCRIPTION: 100% OWNER OF RENTAL PROPERTIES (3) WEALTH MANAGEMENT GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2003 ADDRESS: 2035 Corte Del Nogal, Suite 150, Carlsbad CA 92011, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-18
S63 Uniform Securities Agent State Law Examination 2002-06-06
  • S66 Uniform Combined State Law Examination
    2004-10-18
  • S63 Uniform Securities Agent State Law Examination
    2002-06-06
Designations

View on SEC IAPD

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