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Independent Financial Group, LLC CRD 7717
$12.9B regulatory AUM 301 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-07-23 |
| TX | RA | APPROVED_RES | 2019-02-28 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Seattle | WA | 07/2009 | 08/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2018 |
| Independent Financial Group | Clinton | WA | 11/2018 | Present |
| Unemployed | Clinton | WA | 08/2018 | 11/2018 |
(1) SYCAMORE WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 01/06/2020 ADDRESS: 217 Bumps Creek Rd., Sneads Ferry NC 28460, United States DESCRIPTION: 1. 100% OWNER OF DBA SYCAMORE WEALTH MANAGEMENT SINCE 2018 FOR MARKETNG PURPOSES. TIME SPENT: 100%. INVESTMENT RELATED. BUSINESS CONDUCTED AS ADDRESS OF RECORD. (2) INVESTMENT AND WEALTH INSTITUTE POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/20/2021 ADDRESS: 4631 Tanner View Dr., Clinton WA 98236, United States DESCRIPTION: Member of the Government Relations Committee, review new potential government policies that may effect the financial services industry.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-12 |
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