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Advisor at INDEPENDENT FINANCIAL GROUP, LLC
THE WOODLAND, TX
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 | Aug 2, 2021 | n/a | yes | THE WOODLAND, TX | Current employment |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Nov 1, 2017 | Aug 12, 2021 | no | THE WOODLANDS, TX | Previous registration |
| GIRARD SECURITIES, INC. | Former SEC adviser | Apr 3, 2017 | Nov 1, 2017 | no | THE WOODLANDS, TX|SAN DIEGO, CA|MANDEVILLE, LA|THE WOODLANDS, TX|CORPUS CHRISTI, TX | Previous registration |
| ASSET ONE LLC | Former SEC adviser | Apr 7, 2003 | Jul 2, 2017 | no | THE WOODLANDS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA ADVISOR NETWORKS LLC | INDEPENDENT FINANCIAL GROUP, LLC | Aug 12, 2021 | Aug 2, 2021 | -10 | Firm change | Ibd to ibd |
| GIRARD SECURITIES, INC. | CETERA ADVISOR NETWORKS LLC | Nov 1, 2017 | Nov 1, 2017 | 0 | Bulk transfer | Other |
| ASSET ONE LLC | GIRARD SECURITIES, INC. | Jul 2, 2017 | Apr 3, 2017 | -90 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 13572:7717:TX:2021-08-12 | Aug 12, 2021 | Aug 2, 2021 | THE WOODLANDS, TX | Firm change |