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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

CATHERINE LEIGH BROWN

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

PALM DESERT, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 16, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT FINANCIAL GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Feb 1, 1991
First registration: Jul 16, 1999
Dual registered: yes, broker-dealer
Other names: CATHY SCHUMACHER|CATHERINE LEIGH SCHUMACHER|CATHY LEIGH BROWN-WELLINS|CATHY LEIGH WELLINS|CATHY LEIGH BROWN|CATHY BROWN-WELLINS
IAPD individual key: 1332036

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Feb 23, 2009	n/a	yes	PALM DESERT, CA	Current employment
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 16, 2009	Feb 18, 2009	no	PALM DESERT, CA\|SAN DIEGO, CA\|PALM DESERT, CA	Previous registration
CB WEALTH MANAGEMENT GROUP	n/a	Aug 24, 2004	Apr 27, 2012	no	PALM DESERT, CA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Jul 16, 1999	Jan 15, 2009	no	PALM DESERT, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CB WEALTH MANAGEMENT GROUP	WOODBURY FINANCIAL SERVICES, INC.	Apr 27, 2012	Jan 16, 2009	-1,197	Firm change after gap	Other
WOODBURY FINANCIAL SERVICES, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Feb 18, 2009	Feb 23, 2009	5	Firm change	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	CB WEALTH MANAGEMENT GROUP	Jan 15, 2009	Aug 24, 2004	-1,605	Firm change after gap	Other

Relationships

Registered with (4)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Feb 23, 2009 to presentfactForm ADV
→ CB WEALTH MANAGEMENT GROUPRegistered adviserregistration: previous registration
Aug 24, 2004 to Apr 27, 2012factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 16, 2009 to Feb 18, 2009factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Jul 16, 1999 to Jan 15, 2009factForm ADV

Dated events

No dated event names this entity yet.