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Advisor at INDEPENDENT FINANCIAL GROUP, LLC
LAGUNA BEACH, 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 1, 2025 | n/a | yes | LAGUNA BEACH, CA | Current employment |
| NPB FINANCIAL GROUP, LLC | Former SEC adviser | May 25, 2007 | Jul 15, 2022 | no | LAGUNA BEACH, CA | Previous registration |
| ASSOCIATED PLANNERS INVESTMENT ADVISORY INC | n/a | Feb 14, 2005 | Jun 14, 2007 | no | LAGUNA BEACH, CA | Previous registration |
| PRUCO SECURITIES, LLC | No RAUM reported | Dec 23, 1998 | Feb 3, 2005 | no | IRVINE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NPB FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, LLC | Jul 15, 2022 | Jan 1, 2025 | 901 | Firm change after gap | RIA to ibd |
| ASSOCIATED PLANNERS INVESTMENT ADVISORY INC | NPB FINANCIAL GROUP, LLC | Jun 14, 2007 | May 25, 2007 | -20 | Firm change | Other |
| PRUCO SECURITIES, LLC | ASSOCIATED PLANNERS INVESTMENT ADVISORY INC | Feb 3, 2005 | Feb 14, 2005 | 11 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 137743:7717:CA:2022-07-15 | Jul 15, 2022 | Jan 1, 2025 | LAGUNA BEACH, CA | Firm change after gap |