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Detailed Report
LAUREN AUSTIN ESTES
CRD#: 5777914
IA
Investment Adviser
B
Broker
INDEPENDENT FINANCIAL GROUP, LLCCRD#: 7717 MEMPHIS, TN
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2012 (2 years)2 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - Present (12 years)
License(s)

State Registrations

B
Arkansas 10/17/2022
B
New York 11/3/2020
B
California 5/8/2024
B
Tennessee 2/27/2013
B
Colorado 7/29/2019
IA
Tennessee 2/27/2013
B
Florida 6/29/2020
B
Virginia 12/11/2024
B
Illinois 8/9/2021
B
Washington 9/9/2020
B
Mississippi 7/14/2016

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)
MEMPHIS, TN
Registered with this firm since 2/27/2013
B
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
MEMPHIS, TN
Registered with this firm since 2/27/2013
Previous Registration(s)
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IA
 01/03/2013 - 01/08/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) GERMANTOWN, TN
B
 01/03/2013 - 01/08/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) GERMANTOWN, TN
IA
 12/08/2010 - 12/05/2012 NFP SECURITIES, INC. (CRD#:42046) MEMPHIS, TN
B
 09/06/2010 - 12/05/2012 NFP SECURITIES, INC. (CRD#:42046) MEMPHIS, TN
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.