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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
CA RA APPROVED 2024-08-02
TX RA APPROVED 2024-08-02
  • CA RA
    APPROVED
    Since 2024-08-02
  • TX RA
    APPROVED
    Since 2024-08-02

Branch Locations

12671 High Bluff Drive Suite 200, San Diego, CA 92130 • UNITED STATES

Benicia, CA • United States

Disclosures

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.

  • Regulatory action Yes
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Hercules CA 10/2012 07/2024
Independent Financial Group, Llc Benicia CA 07/2024 Present
Previous Registrations
  • 2012-10-01 → 2024-07-17
    Mesa, AZ
    Danville, CA
    Richmond, CA
    Richmond, CA
    Hercules, CA
    Pinole, CA
    Pinole, CA
    Pinole, CA
    Richmond, CA
    Hercules, CA
    Richmond, CA
  • 2011-10-27 → 2012-10-01
    Chase Investment Services Corp.
    Mesa, AZ
  • 2011-01-03 → 2011-08-18
    Scottsdale, AZ
  • 2009-05-19 → 2011-01-03
    Wells Fargo Investments, Llc
    Scottsdale, AZ
Other Businesses

(1) TARAGO CAPITAL LLC POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2024 ADDRESS: 930 Rose Drive, Benicia CA 94510, United States DESCRIPTION: Utilize LLC for liability, tax, expense calculation purposes as it relates to being an independent financial advisor. BENICIA ARSENAL FUTBOL CLUB POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/15/2024 ADDRESS: 930 Rose Drive, Benicia CA 94510, United States DESCRIPTION: Help soccer club with organizational activities such as hiring employees, scheduling fields, scheduling clinics, and other general support.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-09
  • S66 Uniform Combined State Law Examination
    2009-05-09
Designations
Other Names
  • Benjamin Christopher Buck

View on SEC IAPD

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