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Registration History
199019952000200520102015202020252 FIRMS2003 - 2009 (5 years)2 FIRMS2009 - 2022 (12 years)2 FIRMS2022 - Present (2 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2001 - 2003 (2 years)BUBS PAINEWEBBER INC. (CRD# 8174)1997 - 2001 (3 years)BSPECTRUM SECURITIES, INC. (CRD# 29305)1997 - 1997 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1995 (2 years)BLEHMAN BROTHERS INC. (CRD# 7506)1990 - 1992 (2 years)IAASSOCIATED SECURITIES CORP. (CRD# 12969)2006 - 2009 (3 years)
Disclosure(s)
View By:
2/5/2019
Financial
Final
2/5/2019
Financial
Final
2/5/2019
Financial
Final
License(s)

State Registrations

B
Arizona 7/15/2022

B
North Carolina 7/15/2022

B
California 7/15/2022

B
Oregon 7/15/2022

IA
California 7/15/2022

B
Tennessee 7/15/2022

B
Colorado 10/21/2022

B
Texas 7/15/2022

B
Connecticut 7/15/2022

B
Utah 7/15/2022

B
Hawaii 7/15/2022

B
Washington 7/15/2022

B
Nevada 11/2/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
Yucaipa, CA
Registered with this firm since 7/15/2022

B
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
Yucaipa, CA
Registered with this firm since 7/15/2022

Previous Registration(s)
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IA
08/10/2009 - 07/15/2022 NPB FINANCIAL GROUP, LLC (CRD#:137743) Yucaipa, CA
B
08/10/2009 - 07/15/2022 NPB FINANCIAL GROUP, LLC (CRD#:137743) Yucaipa, CA
IA
08/01/2006 - 08/12/2009 ASSOCIATED SECURITIES CORP. (CRD#:12969) YUCAIPA, CA
IA
10/20/2003 - 08/12/2009 ASSOCIATED PLANNERS INVESTMENT ADVISORY INC (CRD#:104790) YUCAIPA, CA
B
09/25/2003 - 08/12/2009 ASSOCIATED SECURITIES CORP. (CRD#:12969) YUCAIPA, CA
B
05/04/2001 - 09/19/2003 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
07/25/1997 - 05/16/2001 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
03/07/1997 - 11/05/1997 SPECTRUM SECURITIES, INC. (CRD#:29305)
FINRA expelled the firm on 11/15/1999
AROURA HILLS, CA
B
11/24/1992 - 03/15/1995 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
07/25/1990 - 12/03/1992 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.