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BEN THOMAS MCCOLLUM
CRD#: 6087460
IA
B
INDEPENDENT FINANCIAL GROUP, LLCCRD#: 7717 2646 Santa Maria Way
Suite 104
Santa Maria, CA 93455
Suite 104
Santa Maria, CA 93455
0
Disclosures
6
Years of Experience
View By:
State Registrations
B
Arizona 9/22/2023
B
New Jersey 9/22/2023
IA
California 3/23/2023
B
New York 9/22/2023
B
California 9/22/2023
B
North Carolina 9/25/2023
B
Colorado 9/22/2023
B
Ohio 9/24/2023
B
Florida 9/22/2023
B
Oklahoma 9/22/2023
B
Georgia 9/22/2023
B
Oregon 9/22/2023
B
Idaho 9/22/2023
B
Tennessee 9/22/2023
B
Indiana 9/22/2023
B
Texas 9/22/2023
B
Iowa 9/22/2023
IA
Texas 9/23/2023
B
Maine 11/30/2023
B
Utah 9/22/2023
B
Maryland 9/22/2023
B
Vermont 9/22/2023
B
Massachusetts 9/22/2023
B
Virginia 9/22/2023
B
Michigan 9/22/2023
B
Washington 9/22/2023
B
Minnesota 9/22/2023
B
Wisconsin 9/22/2023
B
Missouri 9/22/2023
B
Wyoming 9/22/2023
B
Nevada 9/22/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/22/2023
IA
Registered with this firm since 3/23/2023
B
Registered with this firm since 9/22/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/06/2022 - 09/01/2023 | San Diego, CA | |
IA | 08/24/2018 - 10/05/2022 | SAN DIEGO, CA | |
B | 04/05/2018 - 10/05/2022 | SAN DIEGO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.