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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

Yasser Ahmad

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

SAN JOSE, CA

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Search this name across graphsid dfx:ria:4f4a030f-195e-53b9-ebd8-6f9cf03089d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 4, 2008 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: Mar 3, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Mar 3, 2008
First registration: Mar 4, 2008
Dual registered: yes, broker-dealer
Other names: YASSER AHMAD|AHMAD YASSER
IAPD individual key: 5451336

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	Sep 5, 2019	n/a	yes	SAN JOSE, CA	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 27, 2011	Nov 1, 2013	no	E. PALO ALTO, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 27, 2011	Nov 1, 2013	no	Menlo Park, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 30, 2009	Jul 26, 2011	no	SAN FRANCISCO, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Mar 4, 2008	Mar 25, 2009	no	WALNUT CREEK, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	INDEPENDENT FINANCIAL GROUP, LLC	Nov 1, 2013	Sep 5, 2019	2,134	Firm change after gap	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Nov 1, 2013	Jul 27, 2011	-828	Channel change	Other
WELLS FARGO ADVISORS	TD AMERITRADE, INC.	Jul 26, 2011	Jul 27, 2011	1	Firm change	Wirehouse to new firm
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO ADVISORS	Mar 25, 2009	Jul 30, 2009	127	Firm change	Other

Relationships

Registered with (5)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Sep 5, 2019 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 27, 2011 to Nov 1, 2013factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 27, 2011 to Nov 1, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 30, 2009 to Jul 26, 2011factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 4, 2008 to Mar 25, 2009factForm ADV

Dated events

No dated event names this entity yet.