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About Independent Financial Group |
| Independent financial advisors who offer the strucured investing approach have a duty of loyalty, care and competence and are held to a high standard of trust. |
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General Information |
| Years of Experience in Financial Services: |
17
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| Work Experience: |
17yrs as a Independent Financial Advisor
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| States Licensed in: |
CA, WA, IL, FL, AZ, CO, PA,
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| Number of Years with Current Firm: |
13
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| Insurance License#: |
OC45072
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| Work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations, HOA
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| Name of Broker/Dealer: |
Independent Financial Group
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| States Willing to do Business in: |
CA
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Education |
| Academic Background |
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| Bachelors Degree at Notre Dame, Finance
Masters Degree, Insitute of Business and Finance |
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Services |
| Investment Types: |
Mutual Funds, FOREX & Currency, Options & Futures, Bonds, Stocks, Annuities, Insurance, Commodities, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI), Real Estate
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| Can meet clients in the following ways: |
Your Office, Email, Phone, Our Office, Your Home
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Securities Investor Protection Corporation, Certified Fund Specialist (CFS), Certified Annuity Specialist (CAS), Masters in Financial Services (MSFS)
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| Securities Licenses: |
Series 6, Series 7, Series 63, Series 66
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| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, HMO, Life, Health, Annuity, Accident, Disability
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| Financial Organization Memberships: |
Million Dollar Roundtable
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Firm Information |
| Assets Managed by Firm: |
Yes
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| Assets Managed by Advisor: |
$100,000+
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| Advisor's Number of Clients: |
150
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| Firm's Number of Clients: |
500
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| Advisor's Number of Planning Clients: |
150
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| Advisor's Number of Managed Clients: |
150
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| Firm's Number of Planning Clients: |
150
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| Firm's Number of Managed Clients: |
150
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Compliance |
| Criminal Disclosures in Last 5 years: |
Have a clean record
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| Compliance Disclosures in Last 5 years: |
Have a clean record
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| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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Compensation and Fees |
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| Compensation Methods: |
Based on Assets, Flat Fee, Commissions
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| Minimum Portfolio Size for New Managed Accounts: |
100,000
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Frequently Asked Questions |
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What are your qualifications? What is your education background? |
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How are you compensated? How will I pay for your services? |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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Do you offer any guaranteed results? |
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Have you ever been charged with any breaches? |
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What carrier(s) do you represent? |
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One that fits the client best interest |
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Why should I choose you as my financial advisor? |
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Bachlors of Sciance, Notre Dame
Masters of Science in Financial, Institute of Business Finance |
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How do you charge for your services? |
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Money Management, Retirment Planning, Estate Planning |
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What services do you provide? What are your specialties? |
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Assett Management, Financial Planning |
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What is your experience? How many clients do you currently manage? |
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What are your qualifications? |
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Certified in Fund management, Retirment planning |
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What financial institutions do you represent? |
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The Financial Institution that best fits! |
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How many years of experience do you have? |
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How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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Increase investment options and control of assetts |
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