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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS1998 - 1998 (<1 year)2 FIRMS2022 - Present (2 years)BINTERNATIONAL ASSETS ADVISORY, LLC (CRD# 10645)2015 - 2022 (7 years)BCOURTLANDT SECURITIES CORPORATION (CRD# 137356)2011 - 2015 (3 years)BTUDOR, PICKERING, HOLT & CO. S... (CRD# 129772)2008 - 2010 (1 year)BJMP SECURITIES LLC (CRD# 22208)2002 - 2008 (5 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)1999 - 2001 (1 year)BCMS INVESTMENT RESOURCES, INC. (CRD# 10102)1995 - 1998 (2 years)BFOLEY MUFSON HOWE & COMPANY (CRD# 29993)1993 - 1994 (<1 year)BRAUSCHER PIERCE REFSNES, INC. (CRD# 6663)1993 - 1993 (<1 year)BS. W. RYAN & COMPANY, INC. (CRD# 21669)1990 - 1992 (1 year)IAINTERNATIONAL ASSETS INVESTMEN... (CRD# 144426)2016 - 2022 (6 years)IAINTERNATIONAL ASSETS INVESTMEN... (CRD# 144426)2015 - 2015 (<1 year)
Disclosure(s)
View By:
3/3/2022
Customer Dispute
Denied
2/5/2020
Customer Dispute
Settled
License(s)

State Registrations

B
California 5/3/2022
B
Texas 5/3/2022
B
North Carolina 5/31/2022
IA
Texas 5/3/2022
B
South Carolina 5/3/2022
B
Washington 5/3/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
KEMAH, TX
Registered with this firm since 5/3/2022
B
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
KEMAH, TX
Registered with this firm since 5/3/2022
Previous Registration(s)
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IA
 01/12/2016 - 05/31/2022 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC (CRD#:144426) KEMAH, TX
B
 04/20/2015 - 05/31/2022 INTERNATIONAL ASSETS ADVISORY, LLC (CRD#:10645) KEMAH, TX
IA
 06/16/2015 - 12/31/2015 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC (CRD#:144426) HOUSTON, TX
B
 11/11/2011 - 02/23/2015 COURTLANDT SECURITIES CORPORATION (CRD#:137356) HOUSTON, TX
B
 09/04/2008 - 01/05/2010 TUDOR, PICKERING, HOLT & CO. SECURITIES, INC. (CRD#:129772) HOUSTON, TX
B
 10/11/2002 - 01/23/2008 JMP SECURITIES LLC (CRD#:22208) SAN FRANCISCO, CA
B
 04/06/1999 - 01/18/2001 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
B
 09/01/1998 - 11/04/1998 BANCBOSTON ROBERTSON STEPHENS INC. (CRD#:41271) SAN FRANCISCO, CA
B
 01/23/1998 - 09/01/1998 BANCAMERICA ROBERTSON STEPHENS (CRD#:17977) SAN FRANCISCO, CA
B
 12/11/1995 - 01/13/1998 CMS INVESTMENT RESOURCES, INC. (CRD#:10102) WYNNEWOOD, PA
B
 11/11/1993 - 04/19/1994 FOLEY MUFSON HOWE & COMPANY (CRD#:29993)
B
 08/27/1993 - 09/20/1993 RAUSCHER PIERCE REFSNES, INC. (CRD#:6663) DALLAS, TX
B
 10/29/1990 - 07/14/1992 S. W. RYAN & COMPANY, INC. (CRD#:21669)
FINRA expelled the firm on 11/07/2005
WEST CONSHOHOCKEN, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.