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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 2026-04-07
CA RA APPROVED 2022-07-15
  • TX RA
    APPROVED
    Since 2026-04-07
  • CA RA
    APPROVED
    Since 2022-07-15

Branch Locations

1400 Guerneville Road Suite #14, Santa Rosa, CA 95403 • 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
Npb Financial Group, Llc Burbank CA 08/2009 Present
Independent Financial Group, Llc Santa Rosa CA 07/2022 Present
Previous Registrations
  • 2009-08-24 → 2022-07-15
    Npb Financial Group, Llc
    Santa Rosa, CA
    Santa Rosa, CA
  • 2007-07-16 → 2009-08-25
    Associated Securities Corp.
    Santa Rosa, CA
    Santa Rosa, CA
  • 1997-07-08 → 2009-08-25
    Associated Planners Investment Advisory Inc
    Santa Road, CA
    Rohnert Park, CA
Other Businesses

(1) OUTSIDE INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/1986 ADDRESS: 1400 Guerneville Road, Suite #14, Santa Rosa CA 95403, United States DESCRIPTION: OUTSIDE INSURANCE. (2) JOHN R PEARSON CFP POSITION: DBA Name for Marketing Purposes Only CFP NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/1986 ADDRESS: 1400 Guerneville Road, Suite #14, Santa Rosa CA 95403, United States DESCRIPTION: DBA NAME FOR MARKETING PURPOSES. (3) REAL ESTATE MANAGEMENT POSITION: My wife manages the Duplex while I manage the contractors if repairs are needed. NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 427 N Cloverdale Blvd, Cloverdale CA 95425, United States DESCRIPTION: My wife manages the tenants and rental cash flow while I manage the contractors when needed.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-09-26
  • S63 Uniform Securities Agent State Law Examination
    1998-09-26
Designations

View on SEC IAPD

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