Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS2010 - 2016 (5 years)2 FIRMS2016 - Present (9 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2008 - 2009 (<1 year)
Disclosure(s)
View By:
11/30/2014
Customer Dispute
Settled
2/13/1994
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 3/18/2022
B
New Mexico 6/10/2021
B
California 2/22/2016
B
Texas 2/1/2019
IA
California 2/22/2016
IA
Texas 2/4/2019
B
Massachusetts 4/13/2016
B
Washington 5/10/2022
B
Minnesota 2/22/2016
B
Wisconsin 3/19/2019
B
Nevada 3/4/2024

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)
SAN JOSE, CA
Registered with this firm since 2/22/2016
B
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
SAN JOSE, CA
Registered with this firm since 2/22/2016
Previous Registration(s)
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IA
 06/21/2010 - 02/02/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN JOSE, CA
B
 06/21/2010 - 02/02/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN JOSE, CA
B
 12/18/2008 - 05/22/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SAN JOSE, CA
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.