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Advisor at INDEPENDENT FINANCIAL GROUP, LLC
PALM SPRINGS, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| INDEPENDENT FINANCIAL GROUP, LLC | Bd affiliated wealth | Jan 13, 2026 | n/a | yes | PALM SPRINGS, CA | Current employment |
| NPB FINANCIAL GROUP, LLC | Former SEC adviser | Jul 23, 2014 | Jul 15, 2022 | no | Sacramento, CA | Previous registration |
| FOOTHILL SECURITIES, INC. | Former SEC adviser | Mar 4, 1998 | Jul 18, 2014 | no | DAVIS, CA|SACRAMENTO, CA|CHICO, CA|SACRAMENTO, CA|DAVIS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NPB FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, LLC | Jul 15, 2022 | Jan 13, 2026 | 1,278 | Firm change after gap | RIA to ibd |
| FOOTHILL SECURITIES, INC. | NPB FINANCIAL GROUP, LLC | Jul 18, 2014 | Jul 23, 2014 | 5 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 137743:7717:CA:2022-07-15 | Jul 15, 2022 | Jan 13, 2026 | SACRAMENTO, CA | Firm change after gap |