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Advisor at INDEPENDENT FINANCIAL GROUP, LLC
Washington Crossing, PA
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 | Sep 27, 2013 | n/a | yes | Washington Crossing, PA | Current employment |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Jun 14, 2012 | Oct 4, 2013 | no | JENKINTOWN, PA | Previous registration |
| FIRST ALLIED SECURITIES, INC. | Former SEC adviser | Dec 17, 2007 | Jul 2, 2012 | no | JENKINTOWN, PA|LANSDALE, PA|SAN DIEGO, CA|LANSDALE, PA | Previous registration |
| NEXT FINANCIAL GROUP, INC. | Former SEC adviser | Jan 3, 2005 | Dec 31, 2007 | no | JENKINTOWN, PA | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Mar 11, 2004 | Dec 31, 2004 | no | JENKINTOWN, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIRST ALLIED ADVISORY SERVICES, INC. | INDEPENDENT FINANCIAL GROUP, LLC | Oct 4, 2013 | Sep 27, 2013 | -7 | Firm change | Other |
| FIRST ALLIED SECURITIES, INC. | FIRST ALLIED ADVISORY SERVICES, INC. | Jul 2, 2012 | Jun 14, 2012 | -18 | Bulk transfer | Other |
| NEXT FINANCIAL GROUP, INC. | FIRST ALLIED SECURITIES, INC. | Dec 31, 2007 | Dec 17, 2007 | -14 | Firm change | Other |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | NEXT FINANCIAL GROUP, INC. | Dec 31, 2004 | Jan 3, 2005 | 3 | Firm change | Other |