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Advisor at INDEPENDENT FINANCIAL GROUP, LLC
ROCKWALL, TX | SAN DIEGO, 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 | Jun 9, 2023 | n/a | yes | ROCKWALL, TX|SAN DIEGO, CA | Current employment |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | Bd affiliated wealth | May 26, 2016 | Jun 30, 2023 | no | ROCKWALL, TX|ORLANDO, FL|ROCKWALL, TX | Previous registration |
| CETERA ADVISORS LLC | Former SEC adviser | Nov 18, 2013 | May 10, 2016 | no | ROCKWALL, TX|GREENWOOD VILLAGE, CO|ADDISON, TX|PLANO, TX|DALLAS, TX|ROCKWALL, TX | Previous registration |
| NEXT FINANCIAL GROUP, INC. | Former SEC adviser | May 25, 2012 | Sep 18, 2012 | no | HOUSTON, TX|ROCKWALL, TX | Previous registration |
| WOODBURY FINANCIAL SERVICES, INC. | Former SEC adviser | Jan 7, 2003 | Nov 19, 2013 | no | ADDISON, TX|ROCKWALL, TX|DALLAS, TX|McKinney, TX|DALLAS, TX|TYLER, TX|FAIRVIEW, TX|PLANO, TX|PLANO, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | INDEPENDENT FINANCIAL GROUP, LLC | Jun 30, 2023 | Jun 9, 2023 | -21 | Firm change | Ibd to ibd |
| CETERA ADVISORS LLC | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | May 10, 2016 | May 26, 2016 | 16 | Firm change | Other |
| WOODBURY FINANCIAL SERVICES, INC. | NEXT FINANCIAL GROUP, INC. | Nov 19, 2013 | May 25, 2012 | -543 | Firm change after gap | Other |
| NEXT FINANCIAL GROUP, INC. | CETERA ADVISORS LLC | Sep 18, 2012 | Nov 18, 2013 | 426 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 144426:7717:TX:2023-06-30 | Jun 30, 2023 | Jun 9, 2023 | ROCKWALL, TX | Firm change |
| 10299:144426:TX:2016-05-10 | May 10, 2016 | May 26, 2016 | ROCKWALL, TX | Firm change |