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Detailed Report
JAMES MATTHEW FAHY
CRD#: 4876939
IA
Investment Adviser
B
Broker
INDEPENDENT FINANCIAL GROUP, LLCCRD#: 7717 237 W LINCOLN HWY
EXTON, PA 19341
Registration History
1995200020052010201520202025IAINDEPENDENT FINANCIAL GROUP, LLC (CRD# 7717)2023 - Present (1 year)BINDEPENDENT FINANCIAL GROUP, LLC (CRD# 7717)2022 - Present (2 years)BAIG CAPITAL SERVICES, INC. (CRD# 13158)2005 - 2022 (17 years)
Disclosure(s)
View By:
3/15/1991
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 6/27/2022
B
North Carolina 6/28/2022
B
California 6/17/2022
B
Oregon 6/23/2022
B
Connecticut 6/20/2022
B
Pennsylvania 6/17/2022
B
Delaware 6/27/2022
IA
Pennsylvania 9/20/2023
B
Florida 6/20/2022
B
South Carolina 6/22/2022
B
Georgia 6/23/2022
B
Texas 6/17/2022
B
Illinois 6/29/2022
IA
Texas 1/25/2024
B
Maryland 6/21/2022
B
Virginia 6/22/2022
B
New Jersey 6/17/2022
B
Wyoming 7/6/2022
B
New York 6/21/2022

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)
237 W LINCOLN HWY, EXTON, PA 19341
Registered with this firm since 9/20/2023
B
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
237 W LINCOLN HWY, EXTON, PA 19341
Registered with this firm since 6/17/2022
Previous Registration(s)
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B
 01/13/2005 - 06/20/2022 AIG CAPITAL SERVICES, INC. (CRD#:13158) JERSEY CITY, NJ
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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.