Independent Financial Group LLC
Industry: Company
DescriptionParent organization: Independent Financial Group, Inc. Subsidiary: Independent Financial Group, LLC, Investment Banking Arm
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Independent Financial Group LLC Employees
Employee
Years
Job
Industry
Kevin Tolsma Kevin Tolsma's Independent Financial Group LLC Experience December 2008 - December 2012
Job Financial Advisor, CFP® at Financial Pointe
Industry Financial Services
Experience
Financial Pointe January 2013 - Present
Independent Financial Group, LLC December 2008 - December 2012
Caleb Consulting Group, Inc. January 1996 - December 2008
Skills
Personal Financial..., Estate & Gift Planning, Retirement Planning, Estate Planning, Investment Advisory, Wealth Management, Alternative Investments, Wealth, Investments, Series 7, High Net Worth..., Retirement, Strategic Financial..., 401k, Securities, Financial Advisory, Finance
Education
The Wharton School 2007 — 2008
Retirement Strategy Program, Finance
Seattle Pacific University 1992 — 1994
Selected MBA coursework, Business and Finance
University of California, Berkeley 1983 — 1987
BA, Economics
Financial Pointe January 2013 - Present
Independent Financial Group, LLC December 2008 - December 2012
Caleb Consulting Group, Inc. January 1996 - December 2008
Skills
Personal Financial..., Estate & Gift Planning, Retirement Planning, Estate Planning, Investment Advisory, Wealth Management, Alternative Investments, Wealth, Investments, Series 7, High Net Worth..., Retirement, Strategic Financial..., 401k, Securities, Financial Advisory, Finance
Education
The Wharton School 2007 — 2008
Retirement Strategy Program, Finance
Seattle Pacific University 1992 — 1994
Selected MBA coursework, Business and Finance
University of California, Berkeley 1983 — 1987
BA, Economics
Andrew Patronik Andrew Patronik's Independent Financial Group LLC Experience March 2009 - September 2010
Job Accounting Technician III at CSU Monterey Bay
Industry Financial Services
Experience
California State University, Monterey Bay March 2013 - Present
California State University, Monterey Bay May 2011 - March 2013
Patronik's Computer Consulting January 2008 - October 2010
Independent Financial Group LLC March 2009 - September 2010
Skills
Microsoft Excel, Customer Service, Microsoft Office, PowerPoint, Microsoft Word, Accounts Payable, Finance, Social Media, Leadership, Investments, Accounting, Analysis
Education
California State University-Monterey Bay 2009 — 2013
Bachelor of Science (BS), Business Administration
Valley Center High School 2005 — 2009
California State University, Monterey Bay March 2013 - Present
California State University, Monterey Bay May 2011 - March 2013
Patronik's Computer Consulting January 2008 - October 2010
Independent Financial Group LLC March 2009 - September 2010
Skills
Microsoft Excel, Customer Service, Microsoft Office, PowerPoint, Microsoft Word, Accounts Payable, Finance, Social Media, Leadership, Investments, Accounting, Analysis
Education
California State University-Monterey Bay 2009 — 2013
Bachelor of Science (BS), Business Administration
Valley Center High School 2005 — 2009
Connie Waitman Connie Waitman's Independent Financial Group LLC Experience October 2012 - Present
Job Vice President Operations
Industry Financial Services
Experience
Independent Financial Group LLC October 2012 - Present
Girard Securities 2006 - 2012
TD Ameritrade June 2004 - June 2006
WS Griffith Securities February 2002 - June 2004
Skills
Fixed Income, Trading, Mutual Funds, Securities, Strategic Financial..., Retirement Planning, Investments, Financial Analysis, Retirement, Risk Management
Education
San Diego State University-California State University 1980 — 1984
Bachelor of Science (BS), Finance, General
San Mateo High School
Independent Financial Group LLC October 2012 - Present
Girard Securities 2006 - 2012
TD Ameritrade June 2004 - June 2006
WS Griffith Securities February 2002 - June 2004
Skills
Fixed Income, Trading, Mutual Funds, Securities, Strategic Financial..., Retirement Planning, Investments, Financial Analysis, Retirement, Risk Management
Education
San Diego State University-California State University 1980 — 1984
Bachelor of Science (BS), Finance, General
San Mateo High School
James Merrill James Merrill's Independent Financial Group LLC Experience April 2008 - Present
Job Professional Fiduciary, Wealth Advisor Independent Financial Group LLC
Industry Financial Services
Experience
Independent Financial Group LLC April 2008 - Present
LPL Financial January 2006 - April 2008
Merrill & Associates February 1983 - December 2006
TJ&A March 1991 - January 1993
52nd Street Inc. March 1977 - January 1993
Playboy Enterprises, Inc. January 1979 - August 1983
Playboy Productions February 1981 - July 1983
The Shefrin Company February 1978 - January 1979
United Artists Records June 1976 - January 1978
Skills
Estate Planning, Personal Financial..., Retirement Planning, Asset Allocation, Strategic Financial..., Risk Management, Finance, Wealth Management, Asset Management, Investments, Investment Advisory, Alternative Investments, Series 7, Financial Advisory, Portfolio Management, Financial Planning, Marketing
Education
University of Southern California 1972 — 1976
Bachelor of Science (B.S.), Finance
Peperdine
University of Southern California, Graduate School of Business
Independent Financial Group LLC April 2008 - Present
LPL Financial January 2006 - April 2008
Merrill & Associates February 1983 - December 2006
TJ&A March 1991 - January 1993
52nd Street Inc. March 1977 - January 1993
Playboy Enterprises, Inc. January 1979 - August 1983
Playboy Productions February 1981 - July 1983
The Shefrin Company February 1978 - January 1979
United Artists Records June 1976 - January 1978
Skills
Estate Planning, Personal Financial..., Retirement Planning, Asset Allocation, Strategic Financial..., Risk Management, Finance, Wealth Management, Asset Management, Investments, Investment Advisory, Alternative Investments, Series 7, Financial Advisory, Portfolio Management, Financial Planning, Marketing
Education
University of Southern California 1972 — 1976
Bachelor of Science (B.S.), Finance
Peperdine
University of Southern California, Graduate School of Business
Karl Shultz Karl Shultz's Independent Financial Group LLC Experience April 2011 - August 2011
Job Compliance BSA/AML Specialist
Industry Financial Services
Experience
California Coast Credit Union August 2011 - Present
Independent Financial Group LLC April 2011 - August 2011
TD Ameritrade Institutional Services June 2005 - October 2008
TD Waterhouse Investor Services March 1996 - August 2004
Skills
Training, Customer Service, Risk Management, Investments, Human Resources, Series 7, Microsoft Excel
Education
California State University San Marcos 1993 — 1995
BS, Business Administration, High Tech Management, 3.60
San Diego Miramar College 1991 — 1993
AS, Business Admin
California Coast Credit Union August 2011 - Present
Independent Financial Group LLC April 2011 - August 2011
TD Ameritrade Institutional Services June 2005 - October 2008
TD Waterhouse Investor Services March 1996 - August 2004
Skills
Training, Customer Service, Risk Management, Investments, Human Resources, Series 7, Microsoft Excel
Education
California State University San Marcos 1993 — 1995
BS, Business Administration, High Tech Management, 3.60
San Diego Miramar College 1991 — 1993
AS, Business Admin
Kathleen Keleher Kathleen Keleher's Independent Financial Group LLC Experience July 2015 - Present
Job Executive Assistant at Independent Financial Group
Industry Banking
Experience
Independent Financial Group, LLC July 2015 - Present
Union Bank January 2014 - July 2015
Union Bank September 2012 - January 2014
Union Bank January 2012 - September 2012
Enterprise Bank (Enterprise Bancorp) August 2010 - November 2011
Enterprise Bank (Enterprise Bancorp) August 2009 - August 2010
Skills
Credit, Commercial Lending, Credit Analysis, Loan Origination, Branch Management, Retail Banking, Small Business Lending, Branch Banking, Home Equity Loans, Banking
Education
University of New Hampshire - Whittemore School of Business and Economics 2005 — 2009
BS, Business Administration - Finance
Independent Financial Group, LLC July 2015 - Present
Union Bank January 2014 - July 2015
Union Bank September 2012 - January 2014
Union Bank January 2012 - September 2012
Enterprise Bank (Enterprise Bancorp) August 2010 - November 2011
Enterprise Bank (Enterprise Bancorp) August 2009 - August 2010
Skills
Credit, Commercial Lending, Credit Analysis, Loan Origination, Branch Management, Retail Banking, Small Business Lending, Branch Banking, Home Equity Loans, Banking
Education
University of New Hampshire - Whittemore School of Business and Economics 2005 — 2009
BS, Business Administration - Finance
Kate (Yaropolova) Hanhauser Kate (Yaropolova) Hanhauser's Independent Financial Group LLC Experience March 2011 - Present
Job Due Diligence Analyst at Independent Financial Group LLC
Industry Financial Services
Experience
Independent Financial Group LLC March 2011 - Present
UC San Diego September 2007 - December 2010
Cox Communications, Inc June 2010 - September 2010
Acosta Sheet Metal Manufacturing May 2007 - September 2007
JcPenney Department Store July 2005 - May 2007
Skills
Microsoft Excel, PowerPoint, Microsoft Word, Financial Analysis, Microsoft Office, Customer Service, Outlook, Asset Managment, Investments, Accounting, Access, Strategic Financial..., Business Analysis, Project Management, Financial Services, Leadership, Risk Management, Software Documentation, Management, Series 7, Recruiting, Series 24, Series 22, Research, Social Media, Sales, Financial Modeling, Analysis, Asset Management, Economics, FINRA, Investment Advisory, Portfolio Management, Financial Reporting, Investment Strategies, Asset Allocation, Fixed Income, Securities, Data Analysis, Equities, Alternative Investments, Real Estate, Finance, Market Research, Private Placements, Due Diligence
Education
University of California, San Diego 2007 — 2010
Bachelor of Arts, Economics, Sociology
Lynbrook High School 2003 — 2007
High School Diploma
Independent Financial Group LLC March 2011 - Present
UC San Diego September 2007 - December 2010
Cox Communications, Inc June 2010 - September 2010
Acosta Sheet Metal Manufacturing May 2007 - September 2007
JcPenney Department Store July 2005 - May 2007
Skills
Microsoft Excel, PowerPoint, Microsoft Word, Financial Analysis, Microsoft Office, Customer Service, Outlook, Asset Managment, Investments, Accounting, Access, Strategic Financial..., Business Analysis, Project Management, Financial Services, Leadership, Risk Management, Software Documentation, Management, Series 7, Recruiting, Series 24, Series 22, Research, Social Media, Sales, Financial Modeling, Analysis, Asset Management, Economics, FINRA, Investment Advisory, Portfolio Management, Financial Reporting, Investment Strategies, Asset Allocation, Fixed Income, Securities, Data Analysis, Equities, Alternative Investments, Real Estate, Finance, Market Research, Private Placements, Due Diligence
Education
University of California, San Diego 2007 — 2010
Bachelor of Arts, Economics, Sociology
Lynbrook High School 2003 — 2007
High School Diploma
Kathy Busch Kathy Busch's Independent Financial Group LLC Experience February 2014 - Present
Job Founder, and President of the Global Group of Companies
Industry Financial Services
Experience
Global Planning, Inc.® Retirement Income Specialists August 1990 - Present
Global Realty Group, LLC January 2008 - Present
Independent Financial Group LLC February 2014 - Present
LPL Financial August 1990 - February 2014
First Investors Corporation January 1983 - August 1990
Petroleum Trading and Transport January 1981 - January 1983
Skills
Alternative Investments, Financial Services, Holistic Financial..., Estate Planning, Estate Tax Planning, Investments, Real Estate Direct..., Retirement Income..., Retirement Planning, Securities, Strategic Financial..., Wealth Accumulation..., Wealth Preservation..., Wealth Management...
Education
University of Northern Colorado 1976 — 1980
BA, Industrial and Organizational Psychology
Credentials:
Advanced:, Advisory, Securities, Insurance, Real Estate
Global Planning, Inc.® Retirement Income Specialists August 1990 - Present
Global Realty Group, LLC January 2008 - Present
Independent Financial Group LLC February 2014 - Present
LPL Financial August 1990 - February 2014
First Investors Corporation January 1983 - August 1990
Petroleum Trading and Transport January 1981 - January 1983
Skills
Alternative Investments, Financial Services, Holistic Financial..., Estate Planning, Estate Tax Planning, Investments, Real Estate Direct..., Retirement Income..., Retirement Planning, Securities, Strategic Financial..., Wealth Accumulation..., Wealth Preservation..., Wealth Management...
Education
University of Northern Colorado 1976 — 1980
BA, Industrial and Organizational Psychology
Credentials:
Advanced:, Advisory, Securities, Insurance, Real Estate
Virginia Nguyen's Independent Financial Group LLC Experience February 2012 - Present
Job Scott Peck, CPA & Associates
Industry Accounting
Experience
Independent Financial Group LLC February 2012 - Present
Scott Peck, CPA & Associates, APC January 2008 - Present
Dunlap, Dunlap, & Peck, CPAs 2008 - 2010
Skills
Office Administration, Spreadsheets, Accounts Payable, Office Management, Administrative..., Accounts Receivable, QuickBooks, Invoicing, File Management, 10 Key, Confidentiality, Office Equipment, Expenses, Expense Reports, Administrative..., Customer Service, Accounting, Management
Education
Cal State San Marcos 2007 — 2011
Bachelor of Science (B.S.), Business Administration
Independent Financial Group LLC February 2012 - Present
Scott Peck, CPA & Associates, APC January 2008 - Present
Dunlap, Dunlap, & Peck, CPAs 2008 - 2010
Skills
Office Administration, Spreadsheets, Accounts Payable, Office Management, Administrative..., Accounts Receivable, QuickBooks, Invoicing, File Management, 10 Key, Confidentiality, Office Equipment, Expenses, Expense Reports, Administrative..., Customer Service, Accounting, Management
Education
Cal State San Marcos 2007 — 2011
Bachelor of Science (B.S.), Business Administration
Andrew J Baker, CRPC Andrew J Baker, CRPC's Independent Financial Group LLC Experience December 2012 - Present
Job Personal Wealth Manager at Independent Financial Group, LLC
Industry Financial Services
Experience
Independent Financial Group, LLC December 2012 - Present
www.9minutelifeinsurance.com 2010 - Present
Skills
Roth IRA, Retirement, Long-term Care, Life Insurance, 401k, Long Term Care Insurance, IRAs, Fixed Annuities, Disability Insurance, Retirement Planning, Estate Planning, Insurance, Wealth, Investments, Small Business, Financial Planners, Term Life Insurance, Financial Advisory, Financial Services, Wealth Accumulation, Finance, Strategic Financial..., Mutual Funds, Investment Advisory, Asset Allocation, Income Protection, Securities, Brokers, Asset Management, Variable Annuities, 401k Rollovers, Insurance Brokerage, Succession Planning, Investment Strategies, Portfolio Management, Pensions, Wealth Management, Whole Life, Universal Life, Wealth Management..., Key Person Insurance, Qualified Retirement..., Buy-sell Agreements, FINRA, Alternative Investments, Medicare, Estate Tax Planning, General Insurance, Retirement Plan..., Personal Financial...
Education
College for Financial Planning 2007 — 2010
CRPC®, Chartered Retirement Planning Counselor
State University of New York College at Oneonta 1992 — 1996
BS, Secondary Education
Independent Financial Group, LLC December 2012 - Present
www.9minutelifeinsurance.com 2010 - Present
Skills
Roth IRA, Retirement, Long-term Care, Life Insurance, 401k, Long Term Care Insurance, IRAs, Fixed Annuities, Disability Insurance, Retirement Planning, Estate Planning, Insurance, Wealth, Investments, Small Business, Financial Planners, Term Life Insurance, Financial Advisory, Financial Services, Wealth Accumulation, Finance, Strategic Financial..., Mutual Funds, Investment Advisory, Asset Allocation, Income Protection, Securities, Brokers, Asset Management, Variable Annuities, 401k Rollovers, Insurance Brokerage, Succession Planning, Investment Strategies, Portfolio Management, Pensions, Wealth Management, Whole Life, Universal Life, Wealth Management..., Key Person Insurance, Qualified Retirement..., Buy-sell Agreements, FINRA, Alternative Investments, Medicare, Estate Tax Planning, General Insurance, Retirement Plan..., Personal Financial...
Education
College for Financial Planning 2007 — 2010
CRPC®, Chartered Retirement Planning Counselor
State University of New York College at Oneonta 1992 — 1996
BS, Secondary Education
Vito A. Francone's Independent Financial Group LLC Experience 2013 - Present
Job Branch Manager and Wealth Advisor at Independent Financial Group LLC
Industry Financial Services
Experience
Independent Financial Group LLC 2013 - Present
LPL Financial 2004 - 2013
AG Edwards 1995 - 2004
Skills
Finance, Retirement Planning, Wealth Management, Investments, Mutual Funds, Financial Planning, Retirement, Series 7, Investment Advisory, Financial Advisory, Series 63, 401k, Estate Planning, Fixed Annuities, Alternative Investments
Education
California State University-Long Beach
Music Theory and Composition
Independent Financial Group LLC 2013 - Present
LPL Financial 2004 - 2013
AG Edwards 1995 - 2004
Skills
Finance, Retirement Planning, Wealth Management, Investments, Mutual Funds, Financial Planning, Retirement, Series 7, Investment Advisory, Financial Advisory, Series 63, 401k, Estate Planning, Fixed Annuities, Alternative Investments
Education
California State University-Long Beach
Music Theory and Composition
Dennis Dai Dennis Dai's Independent Financial Group LLC Experience January 2012 - September 2012
Job Financial Services & Technology Startup
Industry Financial Services
Experience
Caviar, Inc. April 2015 - Present
Sprig: Dine on Demand May 2014 - April 2015
Stifel Financial Corp. March 2014 - August 2014
Classified Productions April 2013 - August 2014
Independent Financial Group September 2012 - January 2014
KSDT - UC San Diego 2012 - 2013
Independent Financial Group LLC January 2012 - September 2012
LPL Financial October 2010 - January 2011
TD Ameritrade June 2007 - January 2009
Self-Employed September 2005 - May 2007
Skills
Social Media, Recording, Music Production, Microsoft Office, Music, Negotiation, Music Industry, DJ, Team Building, Audio Mastering, Audio Engineering, Networking, Management, Presentations, Mastering, Public Relations, Marketing, Radio, Radio Broadcasting, Radio Host, Radio Producing, Radio Programming, Data Analysis, Leadership, Facebook, Microsoft Excel, Research, Editing, Social Media Marketing, Event Planning, Entertainment, Public Speaking, PowerPoint, Event Management, Microsoft Word, Investments, Blogging, Social Networking, Outlook, Entrepreneurship, Creative Writing, iMovie, WordPress, Press Releases, Spanish, Online Marketing, Video Editing, OS X, YouTube, Financial Analysis
Education
University of California, San Diego 2005 — 2009
Bachelor of Arts (B.A.), Economics, Music Minor
Clements High School 2001 — 2005
Caviar, Inc. April 2015 - Present
Sprig: Dine on Demand May 2014 - April 2015
Stifel Financial Corp. March 2014 - August 2014
Classified Productions April 2013 - August 2014
Independent Financial Group September 2012 - January 2014
KSDT - UC San Diego 2012 - 2013
Independent Financial Group LLC January 2012 - September 2012
LPL Financial October 2010 - January 2011
TD Ameritrade June 2007 - January 2009
Self-Employed September 2005 - May 2007
Skills
Social Media, Recording, Music Production, Microsoft Office, Music, Negotiation, Music Industry, DJ, Team Building, Audio Mastering, Audio Engineering, Networking, Management, Presentations, Mastering, Public Relations, Marketing, Radio, Radio Broadcasting, Radio Host, Radio Producing, Radio Programming, Data Analysis, Leadership, Facebook, Microsoft Excel, Research, Editing, Social Media Marketing, Event Planning, Entertainment, Public Speaking, PowerPoint, Event Management, Microsoft Word, Investments, Blogging, Social Networking, Outlook, Entrepreneurship, Creative Writing, iMovie, WordPress, Press Releases, Spanish, Online Marketing, Video Editing, OS X, YouTube, Financial Analysis
Education
University of California, San Diego 2005 — 2009
Bachelor of Arts (B.A.), Economics, Music Minor
Clements High School 2001 — 2005
Pearson Davis's Independent Financial Group LLC Experience May 2012 - August 2012
Job Associate Vice President
Industry Financial Services
Experience
Griffin Capital Securities, Inc. August 2015 - Present
Vanguard July 2013 - August 2015
Independent Financial Group LLC May 2012 - August 2012
Arizona State University August 2009 - April 2012
Skills
Communication, Business Relationship..., Sales & Marketing..., Problem Solving, Tenacious Work Ethic, Investments, Customer Service, Public Speaking, PowerPoint, Leadership, Social Media, Team Leadership, Microsoft Excel, Analysis, CRM, Critical Thinking, Finance, Financial Analysis, Microsoft Office, Sales, Social Networking, Teamwork, Microsoft Word, Fundraising, Public Relations, Time Management, Management, Accounting, Marketing, Spanish, Data Entry, Social Media Marketing, Risk Management, Outlook, Data Analysis, Facebook, Research, Access
Education
Arizona State University 2009 — 2013
BS, Finance, General
Arizona State University - W. P. Carey School of Business
Griffin Capital Securities, Inc. August 2015 - Present
Vanguard July 2013 - August 2015
Independent Financial Group LLC May 2012 - August 2012
Arizona State University August 2009 - April 2012
Skills
Communication, Business Relationship..., Sales & Marketing..., Problem Solving, Tenacious Work Ethic, Investments, Customer Service, Public Speaking, PowerPoint, Leadership, Social Media, Team Leadership, Microsoft Excel, Analysis, CRM, Critical Thinking, Finance, Financial Analysis, Microsoft Office, Sales, Social Networking, Teamwork, Microsoft Word, Fundraising, Public Relations, Time Management, Management, Accounting, Marketing, Spanish, Data Entry, Social Media Marketing, Risk Management, Outlook, Data Analysis, Facebook, Research, Access
Education
Arizona State University 2009 — 2013
BS, Finance, General
Arizona State University - W. P. Carey School of Business
Ellen Lau Ellen Lau's Independent Financial Group LLC Experience 2013 - Present
Job CFP®, MBA and instructorFinancial Planning at UC Santa Cruz. Helping you achieve financial independence
Industry Financial Services
Experience
Independent Financial Group LLC 2013 - Present
Wellspring Consulting 2006 - 2013
PacWest Financial Mgt. 2004 - 2006
Electronic Data System (EDS) 1998 - 2000
WYSE Technology 1992 - 1998
Skills
Investments, Estate Planning, Retirement, Insurance, Finance, Employee Benefits, Tax, Portfolio Management, Strategic Financial..., Wealth Management, Asset Management, Investment Advisory, Series 7, Retirement Planning, Asset Allocation
Education
University of California, Santa Cruz 2001 — 2003
Diploma in Personal Financial Planning
University of Maryland College Park
MBA, Information System Management
National Taiwan University
BBA, Business Administration-Banking
Taipei First Girls High School (Beinu)
Independent Financial Group LLC 2013 - Present
Wellspring Consulting 2006 - 2013
PacWest Financial Mgt. 2004 - 2006
Electronic Data System (EDS) 1998 - 2000
WYSE Technology 1992 - 1998
Skills
Investments, Estate Planning, Retirement, Insurance, Finance, Employee Benefits, Tax, Portfolio Management, Strategic Financial..., Wealth Management, Asset Management, Investment Advisory, Series 7, Retirement Planning, Asset Allocation
Education
University of California, Santa Cruz 2001 — 2003
Diploma in Personal Financial Planning
University of Maryland College Park
MBA, Information System Management
National Taiwan University
BBA, Business Administration-Banking
Taipei First Girls High School (Beinu)
Tom Otten Tom Otten's Independent Financial Group LLC Experience January 2015 - Present
Job Wealth Manager/Business owner affiliated with Independent Financial Group LLC
Industry Investment Management
Experience
Independent Financial Group LLC January 2015 - Present
First Allied Securities-Reno November 2009 - December 2014
Prudential Securities/Wachovia Securities March 1989 - November 2005
Piper Jaffray and Hopwood August 1986 - March 1989
Piper Jaffray and Hopwood March 1980 - August 1986
Sioux Falls Aviation August 1977 - December 1979
Skills
Wealth Management, Retirement Planning, Strategic Financial..., Investment Advisory, Investments, Portfolio Management, Mutual Funds, Equities, Asset Allocation, Estate Planning, Asset Managment, 401k Rollovers, 401k Plans, Complex Insurance Issues, Long-term Care, Pilot
Education
Canon Financial Institute 2009 — 2011
CWS®, Certified Wealth Strategist
Vincennes University
Associate's degree, Aviation/Airway Management and Operations
University of Kentucky
University of Sioux Falls
Lincoln High in Sioux Falls, SD 1969 — 1971
Independent Financial Group LLC January 2015 - Present
First Allied Securities-Reno November 2009 - December 2014
Prudential Securities/Wachovia Securities March 1989 - November 2005
Piper Jaffray and Hopwood August 1986 - March 1989
Piper Jaffray and Hopwood March 1980 - August 1986
Sioux Falls Aviation August 1977 - December 1979
Skills
Wealth Management, Retirement Planning, Strategic Financial..., Investment Advisory, Investments, Portfolio Management, Mutual Funds, Equities, Asset Allocation, Estate Planning, Asset Managment, 401k Rollovers, 401k Plans, Complex Insurance Issues, Long-term Care, Pilot
Education
Canon Financial Institute 2009 — 2011
CWS®, Certified Wealth Strategist
Vincennes University
Associate's degree, Aviation/Airway Management and Operations
University of Kentucky
University of Sioux Falls
Lincoln High in Sioux Falls, SD 1969 — 1971
Brad Cady Brad Cady's Independent Financial Group LLC Experience March 2011 - October 2013
Job VP Business Development NFP
Industry Financial Services
Experience
NFP Advisor Services November 2013 - Present
Independent Financial Group LLC March 2011 - October 2013
Lincoln Financial Advisors September 2010 - March 2011
LPL Financial November 2002 - August 2010
Education
The University of Connecticut 1995 — 2000
BS, Finance, General
NFP Advisor Services November 2013 - Present
Independent Financial Group LLC March 2011 - October 2013
Lincoln Financial Advisors September 2010 - March 2011
LPL Financial November 2002 - August 2010
Education
The University of Connecticut 1995 — 2000
BS, Finance, General
Conrad Aarseth, CFP® Conrad Aarseth, CFP®'s Independent Financial Group LLC Experience February 2011 - June 2013
Job Financial Advisor
Industry Financial Services
Experience
Dynamic Wealth Strategies, LLC February 2011 - Present
Independent Financial Group LLC February 2011 - June 2013
Koehler & Associates, CPAs February 2011 - January 2013
Ameriprise Financial Services, Inc. October 2009 - January 2011
Financial Designs, Ltd. May 2006 - October 2009
The Financial Advisors Radio Series AM 600 KOGO May 2006 - October 2009
Raleys January 2003 - January 2006
Education
San Diego State University-California State University 2005 — 2007
Bachelor of Science, Business Administration (Financial Services Emphasis)
San Diego State University-California State University 2005 — 2007
Certificate in Personal Financial Planning
Cosumnes River College 2002 — 2004
Associate of Arts, Business Administration
Dynamic Wealth Strategies, LLC February 2011 - Present
Independent Financial Group LLC February 2011 - June 2013
Koehler & Associates, CPAs February 2011 - January 2013
Ameriprise Financial Services, Inc. October 2009 - January 2011
Financial Designs, Ltd. May 2006 - October 2009
The Financial Advisors Radio Series AM 600 KOGO May 2006 - October 2009
Raleys January 2003 - January 2006
Education
San Diego State University-California State University 2005 — 2007
Bachelor of Science, Business Administration (Financial Services Emphasis)
San Diego State University-California State University 2005 — 2007
Certificate in Personal Financial Planning
Cosumnes River College 2002 — 2004
Associate of Arts, Business Administration
M. Ian Dunlap, CPA, CFP® M. Ian Dunlap, CPA, CFP®'s Independent Financial Group LLC Experience January 2012 - Present
Job Principal at Dunlap Wealth Management, APC
Industry Financial Services
Experience
Dunlap Wealth Management, APC July 2010 - Present
Pathway Consulting Group November 2011 - Present
Independent Financial Group LLC January 2012 - Present
Genworth Financial Securities Corp July 2007 - January 2012
Dunlap, Dunlap & Peck, CPA's May 2004 - June 2010
US Army January 1999 - May 2004
Skills
Strategic Financial..., Estate Planning, Wealth Management, Financial Advisory, Financial Planners, Investments, Income Tax, Small Business, Securities, Accounting, Finance, Insurance, Financial Services, Personal Finance, Retirement Planning, Tax, Life Insurance, Fixed Annuities, IRAs, Mutual Funds, Investment Advisory, Retirement, CPA, CFP, Long-term Care, Series 7, 401k, Investment Management, Financial Accounting, Tax Accounting, Asset Allocation, Disability Insurance, FINRA, Long Term Care Insurance, Alternative Investments, Roth IRA, Term Life Insurance, Investment Strategies, Risk Management, Variable Annuities, Asset Management, Wealth Management..., Personal Financial..., Portfolio Management, Wealth, Financial Planning, Financial Statements, Auditing, Certified Financial...
Education
Golden Gate University 2014 — 2016
Master of Science (MS), Financial Planning & Taxation, Estate Planning concentration
University of California, Irvine 2011 — 2011
Personal Financial Planning Certificate Program, Personal Financial Planning
California State University-San Marcos 2005 — 2007
Bachelor of Science (BS), Business Administration - Accounting
Palomar Community College 2004 — 2005
Associate of Arts (AA), Administration of Justice - Law Enforcement; Associate of Arts (AA), Liberal Arts and Sciences
Dunlap Wealth Management, APC July 2010 - Present
Pathway Consulting Group November 2011 - Present
Independent Financial Group LLC January 2012 - Present
Genworth Financial Securities Corp July 2007 - January 2012
Dunlap, Dunlap & Peck, CPA's May 2004 - June 2010
US Army January 1999 - May 2004
Skills
Strategic Financial..., Estate Planning, Wealth Management, Financial Advisory, Financial Planners, Investments, Income Tax, Small Business, Securities, Accounting, Finance, Insurance, Financial Services, Personal Finance, Retirement Planning, Tax, Life Insurance, Fixed Annuities, IRAs, Mutual Funds, Investment Advisory, Retirement, CPA, CFP, Long-term Care, Series 7, 401k, Investment Management, Financial Accounting, Tax Accounting, Asset Allocation, Disability Insurance, FINRA, Long Term Care Insurance, Alternative Investments, Roth IRA, Term Life Insurance, Investment Strategies, Risk Management, Variable Annuities, Asset Management, Wealth Management..., Personal Financial..., Portfolio Management, Wealth, Financial Planning, Financial Statements, Auditing, Certified Financial...
Education
Golden Gate University 2014 — 2016
Master of Science (MS), Financial Planning & Taxation, Estate Planning concentration
University of California, Irvine 2011 — 2011
Personal Financial Planning Certificate Program, Personal Financial Planning
California State University-San Marcos 2005 — 2007
Bachelor of Science (BS), Business Administration - Accounting
Palomar Community College 2004 — 2005
Associate of Arts (AA), Administration of Justice - Law Enforcement; Associate of Arts (AA), Liberal Arts and Sciences
Deborah Dumont, PMP Deborah Dumont, PMP's Independent Financial Group LLC Experience May 2005 - December 2005
Job Business Development Executive at ZDAAS LLC
Industry Information Technology and Services
Experience
ZDAAS LLC May 2015 - Present
Independent Business Consultant March 2014 - April 2015
FosterSoft, Inc. July 2012 - March 2014
Colorado State Park & Foothills Animal Shelter March 2010 - April 2012
First Allied Securities, Inc. (Advanced Equities Fiancial Corp.) April 2007 - October 2008
Ameriprise Financial Services, Inc. July 2006 - April 2007
Independent Financial Group LLC May 2005 - December 2005
AIG Advisor Group September 2002 - December 2004
Peregrine Systems September 2000 - May 2002
Litton Financial (LPL Financial) June 1999 - March 2000
Skills
Project Management, Recruiting, Business Strategy, Program Management, Mergers, Integration, Public Speaking, Business Development, Management, Strategy, Leadership Development, New Business Development, Coaching, Mergers & Acquisitions, Leadership, Project Planning, Marketing, Budgets, Human Resources, Process Improvement, Finance, Entrepreneurship, Customer Service, Business Process, Start-ups, Strategic Planning, Performance Management, Management Consulting, Sales, Vendor Management, Cross-functional Team..., Executive Management, Strategic Financial..., CRM, Team Leadership, Employee Relations, Analysis, Market Research, Time Management, Training, Operations Management, Team Building, Change Management, Interviews, Organizational..., Enterprise Software, Business Process..., Business Analysis, Data Analysis, Onboarding
Education
Red Rocks Community College 2012 — 2015
Associate's Degree
Colorado State University 2011 — 2011
Certification
University of California, San Diego 2006 — 2008
Certification
Virginia Commonwealth University 1974 — 1976
Studied
ZDAAS LLC May 2015 - Present
Independent Business Consultant March 2014 - April 2015
FosterSoft, Inc. July 2012 - March 2014
Colorado State Park & Foothills Animal Shelter March 2010 - April 2012
First Allied Securities, Inc. (Advanced Equities Fiancial Corp.) April 2007 - October 2008
Ameriprise Financial Services, Inc. July 2006 - April 2007
Independent Financial Group LLC May 2005 - December 2005
AIG Advisor Group September 2002 - December 2004
Peregrine Systems September 2000 - May 2002
Litton Financial (LPL Financial) June 1999 - March 2000
Skills
Project Management, Recruiting, Business Strategy, Program Management, Mergers, Integration, Public Speaking, Business Development, Management, Strategy, Leadership Development, New Business Development, Coaching, Mergers & Acquisitions, Leadership, Project Planning, Marketing, Budgets, Human Resources, Process Improvement, Finance, Entrepreneurship, Customer Service, Business Process, Start-ups, Strategic Planning, Performance Management, Management Consulting, Sales, Vendor Management, Cross-functional Team..., Executive Management, Strategic Financial..., CRM, Team Leadership, Employee Relations, Analysis, Market Research, Time Management, Training, Operations Management, Team Building, Change Management, Interviews, Organizational..., Enterprise Software, Business Process..., Business Analysis, Data Analysis, Onboarding
Education
Red Rocks Community College 2012 — 2015
Associate's Degree
Colorado State University 2011 — 2011
Certification
University of California, San Diego 2006 — 2008
Certification
Virginia Commonwealth University 1974 — 1976
Studied
Robin Scouras Robin Scouras's Independent Financial Group LLC Experience February 2012 - August 2013
Job Student at Arizona State University
Industry Computer Software
Experience
Arizona State University September 2013 - Present
Independent Financial Group LLC February 2012 - August 2013
Financial Network Investment Corporation, Member SIPC April 2010 - February 2012
Krebs-Stoudt Insurance Agency August 2008 - April 2010
Tax Deferred Solutions April 2007 - August 2008
Skills
Wealth Management, Retirement, Investments, IRAs, Financial Advisory, Retirement Planning, Estate Planning, Strategic Financial..., Life Insurance, 401k, Fixed Annuities, Series 7, 401k Rollovers, HTML, HTML 5, Python, CSS3, CSS, CSS Javascript, Advanced CSS, CSS Sprites, CalSTRS, Personnel Management, Long Term Care Insurance, jQuery, jQuery UI, jQuery Mobile, Java, JavaScript, C++, C++ Language, CRM, Algorithms, Alternative Investments, Website Development, Web Design, Email Marketing, HTML emails, Website Updating, Website Building, Fixed Income Portfolio..., Equity Valuation, Equities, Financial Calculations, User Experience, User Interface Design, Databases, Database Design, Database Administration, Data Mining
Education
Arizona State University
Technological Entrepreneurship & Management
San Francisco State University
Arizona State University September 2013 - Present
Independent Financial Group LLC February 2012 - August 2013
Financial Network Investment Corporation, Member SIPC April 2010 - February 2012
Krebs-Stoudt Insurance Agency August 2008 - April 2010
Tax Deferred Solutions April 2007 - August 2008
Skills
Wealth Management, Retirement, Investments, IRAs, Financial Advisory, Retirement Planning, Estate Planning, Strategic Financial..., Life Insurance, 401k, Fixed Annuities, Series 7, 401k Rollovers, HTML, HTML 5, Python, CSS3, CSS, CSS Javascript, Advanced CSS, CSS Sprites, CalSTRS, Personnel Management, Long Term Care Insurance, jQuery, jQuery UI, jQuery Mobile, Java, JavaScript, C++, C++ Language, CRM, Algorithms, Alternative Investments, Website Development, Web Design, Email Marketing, HTML emails, Website Updating, Website Building, Fixed Income Portfolio..., Equity Valuation, Equities, Financial Calculations, User Experience, User Interface Design, Databases, Database Design, Database Administration, Data Mining
Education
Arizona State University
Technological Entrepreneurship & Management
San Francisco State University
Dave Elhoff Dave Elhoff's Independent Financial Group LLC Experience 2004 - 2012
Job Financial Thought Doctor/Registered Principal
Industry Financial Services
Experience
Financial Designs ltd 2010 - Present
Elhoff Wealth Strategies, INC 1978 - Present
REISA 2005 - 2012
Independent Financial Group LLC 2004 - 2012
US Navy Reserve December 1978 - December 1994
US Navy January 1972 - December 1978
Skills
Retirement Planning, Wealth Management, Mutual Funds, Retirement, Investment Advisory, Estate Planning, Alternative Investments, Financial Advisory, 401k, Investment Strategies, Disability Insurance, Public Speaking, Wealth Accumulation, Asset Management, Asset Allocation, Insurance, Real Estate, 401k Rollovers, Equities, Charitable Giving, Portfolio Management, Asset Protection, Tax, Risk Management, Pensions, Small Business, Business Planning, Financial Analysis, Funding, Estate Tax Planning, Due Diligence, Private Equity, Wealth Preservation..., Wealth Transfer, IRA's, Financial Planning, Annuities, Investment Products, Wealth Preservation, Retirement Income..., Insurance Planning, Long Term Care, IRAs, Investments, Wealth, Investment Management, Life Insurance, Securities, Financial Services, Finance
Education
College For Financial Planning 1981 — 1983
Dakota Wesleyan University 1968 — 1972
BA, Biology
Financial Designs ltd 2010 - Present
Elhoff Wealth Strategies, INC 1978 - Present
REISA 2005 - 2012
Independent Financial Group LLC 2004 - 2012
US Navy Reserve December 1978 - December 1994
US Navy January 1972 - December 1978
Skills
Retirement Planning, Wealth Management, Mutual Funds, Retirement, Investment Advisory, Estate Planning, Alternative Investments, Financial Advisory, 401k, Investment Strategies, Disability Insurance, Public Speaking, Wealth Accumulation, Asset Management, Asset Allocation, Insurance, Real Estate, 401k Rollovers, Equities, Charitable Giving, Portfolio Management, Asset Protection, Tax, Risk Management, Pensions, Small Business, Business Planning, Financial Analysis, Funding, Estate Tax Planning, Due Diligence, Private Equity, Wealth Preservation..., Wealth Transfer, IRA's, Financial Planning, Annuities, Investment Products, Wealth Preservation, Retirement Income..., Insurance Planning, Long Term Care, IRAs, Investments, Wealth, Investment Management, Life Insurance, Securities, Financial Services, Finance
Education
College For Financial Planning 1981 — 1983
Dakota Wesleyan University 1968 — 1972
BA, Biology
Bill Swayne III Bill Swayne III's Independent Financial Group LLC Experience February 2012 - Present
Job Registered Representative at Independent Financial Group LLC
Industry Financial Services
Experience
Independent Financial Group LLC February 2012 - Present
REISA 2004 - Present
REISA 2004 - Present
WMS Financial Planners, Inc. December 2002 - February 2012
WMS FInancial Planners, Inc. 2002 - February 2012
Pacific West Securities 2001 - February 2012
Credit Union Advisory Services, LLC. 2008 - September 2011
Accredited Solution, LLC 2007 - September 2011
Skills
Investments, Retirement Planning, Asset Management, Real Estate, Mergers, Alternative Investments, Loans, Series 63, Mutual Funds, Wealth Management, Asset Managment, Securities, Financial Advisory, Portfolio Management, Retirement, Mergers & Acquisitions, Asset Allocation, Estate Planning, Strategic Financial..., Investment Strategies, Investment Advisory, Series 7, FINRA, Insurance, IRAs, Fixed Annuities
Education
University of Phoenix
BS, Business Management
Independent Financial Group LLC February 2012 - Present
REISA 2004 - Present
REISA 2004 - Present
WMS Financial Planners, Inc. December 2002 - February 2012
WMS FInancial Planners, Inc. 2002 - February 2012
Pacific West Securities 2001 - February 2012
Credit Union Advisory Services, LLC. 2008 - September 2011
Accredited Solution, LLC 2007 - September 2011
Skills
Investments, Retirement Planning, Asset Management, Real Estate, Mergers, Alternative Investments, Loans, Series 63, Mutual Funds, Wealth Management, Asset Managment, Securities, Financial Advisory, Portfolio Management, Retirement, Mergers & Acquisitions, Asset Allocation, Estate Planning, Strategic Financial..., Investment Strategies, Investment Advisory, Series 7, FINRA, Insurance, IRAs, Fixed Annuities
Education
University of Phoenix
BS, Business Management
Bryan Wertzer's Independent Financial Group LLC Experience February 2009 - Present
Job Financial Advisor at Sutley Wertzer, Inc.
Industry Financial Services
Experience
Sutley Wertzer, Inc. June 1993 - Present
Independent Financial Group, LLC February 2009 - Present
Skills
Series 6, Series 7, Series 24, Series 63, Series 65, Fixed Income, Separately Managed..., Alternative Investments, Equities, Investments, Asset Managment, Asset Allocation, Portfolio Management, 401k, 401k Rollovers, 403 b, IRAs, Wealth Management, Wealth Accumulation, Roth IRA, Simple IRA, SEP IRA, Financial Advisory, Investment Advisory, Retirement Planning, Asset Management, Mutual Funds, Investment Strategies, Securities, Investment Management, Financial Services, Retirement, Variable Annuities, ETFs, Wealth Management..., Term Life Insurance, Pensions, Life Insurance, Financial Planners, College Savings Plans, 529 Plans, Qualified Retirement..., Insurance, FINRA, ERISA, Defined Benefit, Disability Insurance, Strategic Financial...
Education
California State University-Sacramento 1989 — 1993
BA, Government
San Diego State University-California State University 1988 — 1988
Amador Valley High School 1986 — 1988
Commack North High School 1984 — 1986
Sutley Wertzer, Inc. June 1993 - Present
Independent Financial Group, LLC February 2009 - Present
Skills
Series 6, Series 7, Series 24, Series 63, Series 65, Fixed Income, Separately Managed..., Alternative Investments, Equities, Investments, Asset Managment, Asset Allocation, Portfolio Management, 401k, 401k Rollovers, 403 b, IRAs, Wealth Management, Wealth Accumulation, Roth IRA, Simple IRA, SEP IRA, Financial Advisory, Investment Advisory, Retirement Planning, Asset Management, Mutual Funds, Investment Strategies, Securities, Investment Management, Financial Services, Retirement, Variable Annuities, ETFs, Wealth Management..., Term Life Insurance, Pensions, Life Insurance, Financial Planners, College Savings Plans, 529 Plans, Qualified Retirement..., Insurance, FINRA, ERISA, Defined Benefit, Disability Insurance, Strategic Financial...
Education
California State University-Sacramento 1989 — 1993
BA, Government
San Diego State University-California State University 1988 — 1988
Amador Valley High School 1986 — 1988
Commack North High School 1984 — 1986
Sean Jenkins's Independent Financial Group LLC Experience October 2005 - August 2007
Job Event Manager at Waters Fine Catering
Industry Marketing and Advertising
Experience
JCRE, Inc. May 2006 - Present
San Diego Crew Classic, Inc. April 2006 - Present
Waters Fine Catering June 1998 - Present
Merrill Lynch April 2011 - September 2012
EquiGrowth May 2009 - December 2010
Independent Financial Group LLC October 2005 - August 2007
Pacific Capital Mortgage January 2005 - October 2005
Pardee Home Loans 2002 - 2004
Wells Fargo Bank 1997 - 2002
Skills
Mortgage Banking, Mortgage Lending, Sales, Leadership, Management, Loan Origination, Insurance, Loans, Project Planning, Nonprofits, Marketing, Time Management, Financial Analysis, Training, Small Business, Investment Properties, Business Development, Finance, Strategic Planning, Strategy, Entrepreneurship, Team Building, Real Estate, Executive Management, Start-ups, Investments, Selling, Strategic Financial..., New Business Development, Budgets, Credit, Financial Advisory, Banking, Asset Management
Education
San Diego State University-California State University 1995 — 1997
California State University-Long Beach 1993 — 1995
Education
Orange Coast College 1991 — 1993
JCRE, Inc. May 2006 - Present
San Diego Crew Classic, Inc. April 2006 - Present
Waters Fine Catering June 1998 - Present
Merrill Lynch April 2011 - September 2012
EquiGrowth May 2009 - December 2010
Independent Financial Group LLC October 2005 - August 2007
Pacific Capital Mortgage January 2005 - October 2005
Pardee Home Loans 2002 - 2004
Wells Fargo Bank 1997 - 2002
Skills
Mortgage Banking, Mortgage Lending, Sales, Leadership, Management, Loan Origination, Insurance, Loans, Project Planning, Nonprofits, Marketing, Time Management, Financial Analysis, Training, Small Business, Investment Properties, Business Development, Finance, Strategic Planning, Strategy, Entrepreneurship, Team Building, Real Estate, Executive Management, Start-ups, Investments, Selling, Strategic Financial..., New Business Development, Budgets, Credit, Financial Advisory, Banking, Asset Management
Education
San Diego State University-California State University 1995 — 1997
California State University-Long Beach 1993 — 1995
Education
Orange Coast College 1991 — 1993
Ted Watson Ted Watson's Independent Financial Group LLC Experience November 2011 - Present
Job
Industry Financial Services
Experience
Independent Financial Group LLC November 2011 - Present
Charles Schwab October 1998 - September 2011
Skills
Budgets, Investment Advisory, Series 7, Series 63, Investment Strategies, Strategic Planning, Asset Allocation, Wealth Management, Microsoft Excel, Public Speaking, Marketing Strategy, Microsoft Office, Microsoft Word, PowerPoint, Customer Service, Research, Photoshop, English, Windows, Budget, C++, Outlook, C, Teaching, HTML, Java, Editing, Negotiation, Series 9/10, Investments
Education
Susquehanna University 1971 — 1975
BS, Business/Economics
Independent Financial Group LLC November 2011 - Present
Charles Schwab October 1998 - September 2011
Skills
Budgets, Investment Advisory, Series 7, Series 63, Investment Strategies, Strategic Planning, Asset Allocation, Wealth Management, Microsoft Excel, Public Speaking, Marketing Strategy, Microsoft Office, Microsoft Word, PowerPoint, Customer Service, Research, Photoshop, English, Windows, Budget, C++, Outlook, C, Teaching, HTML, Java, Editing, Negotiation, Series 9/10, Investments
Education
Susquehanna University 1971 — 1975
BS, Business/Economics
Chad Wauschek Chad Wauschek's Independent Financial Group LLC Experience August 2012 - Present
Job Registered Representative / Investment Advisor Representative at Independent Financial Group LLC
Industry Accounting
Experience
Dunlap Wealth Management, APC August 2012 - Present
Independent Financial Group LLC August 2012 - Present
Pathway Consulting Group November 2011 - Present
Wauschek & Elfarra, CPA's May 2006 - Present
Dunlap, Klingensmith, Dunlap, & Peck January 2004 - May 2006
MIchael Mareschal, CPA Firm September 2001 - December 2003
Skills
Income Tax, Corporate Tax, Business Analysis, QuickBooks, Investments, Accounting, Tax Preparation, Financial Reporting, General Ledger, Tax, Financial Accounting, GAAP, Bookkeeping, Tax Returns, CPA, Journal Entries, Bank Reconciliation, Financial Planners, Accountants
Education
California State University San Marcos 1998 — 2001
Bachelor’s Degree, Bachelor of Science (BS), Business Administration - Accounting
Fallbrook Union High School 1992 — 1995
Dunlap Wealth Management, APC August 2012 - Present
Independent Financial Group LLC August 2012 - Present
Pathway Consulting Group November 2011 - Present
Wauschek & Elfarra, CPA's May 2006 - Present
Dunlap, Klingensmith, Dunlap, & Peck January 2004 - May 2006
MIchael Mareschal, CPA Firm September 2001 - December 2003
Skills
Income Tax, Corporate Tax, Business Analysis, QuickBooks, Investments, Accounting, Tax Preparation, Financial Reporting, General Ledger, Tax, Financial Accounting, GAAP, Bookkeeping, Tax Returns, CPA, Journal Entries, Bank Reconciliation, Financial Planners, Accountants
Education
California State University San Marcos 1998 — 2001
Bachelor’s Degree, Bachelor of Science (BS), Business Administration - Accounting
Fallbrook Union High School 1992 — 1995
Marc Beekman Marc Beekman's Independent Financial Group LLC Experience 2005 - 2007
Job Director of Centralized Financial Security at Northwestern Mutual
Industry Financial Services
Experience
Northwestern Mutual June 2014 - Present
Securities America, Inc. Member FINRA/SIPC June 2013 - February 2014
BBVA Compass August 2012 - June 2013
OppenheimerFunds June 2011 - August 2012
Transamerica August 2007 - June 2011
Jackson National Life February 2007 - August 2007
Independent Financial Group LLC 2005 - 2007
Skills
Series 63, Investments, Series 7, Financial Advisory, Mutual Funds, Securities, Fixed Annuities, FINRA, 401k, Asset Allocation, Retirement Planning, IRAs, ETFs, Variable Annuities, Retirement, Investment Advisory, Wealth Management, Financial Planners, Alternative Investments, Insurance, Life Insurance, Term Life Insurance, Universal Life, Fixed Income, Financial Services, Bonds, Investment Strategies, Separately Managed..., Investment Management, 401k Rollovers, Wealth Accumulation, Qualified Retirement..., Finance, 529 Plans, Retirement Savings, Income Protection, Risk Management, Defined Contribution, Disability Insurance, Portfolio Management, Asset Management, Strategic Financial..., Retirement Plan..., Long-term Care, Roth IRA, Long Term Care Insurance, Relationship Management, Wealth, Series 66, Financial Planning
Education
New York Institute of Technology-Old Westbury 2000 — 2002
BS, business
Suffolk County Community College 1998 — 2000
BS, business
Kings Park High School
Northwestern Mutual June 2014 - Present
Securities America, Inc. Member FINRA/SIPC June 2013 - February 2014
BBVA Compass August 2012 - June 2013
OppenheimerFunds June 2011 - August 2012
Transamerica August 2007 - June 2011
Jackson National Life February 2007 - August 2007
Independent Financial Group LLC 2005 - 2007
Skills
Series 63, Investments, Series 7, Financial Advisory, Mutual Funds, Securities, Fixed Annuities, FINRA, 401k, Asset Allocation, Retirement Planning, IRAs, ETFs, Variable Annuities, Retirement, Investment Advisory, Wealth Management, Financial Planners, Alternative Investments, Insurance, Life Insurance, Term Life Insurance, Universal Life, Fixed Income, Financial Services, Bonds, Investment Strategies, Separately Managed..., Investment Management, 401k Rollovers, Wealth Accumulation, Qualified Retirement..., Finance, 529 Plans, Retirement Savings, Income Protection, Risk Management, Defined Contribution, Disability Insurance, Portfolio Management, Asset Management, Strategic Financial..., Retirement Plan..., Long-term Care, Roth IRA, Long Term Care Insurance, Relationship Management, Wealth, Series 66, Financial Planning
Education
New York Institute of Technology-Old Westbury 2000 — 2002
BS, business
Suffolk County Community College 1998 — 2000
BS, business
Kings Park High School
Michael L. Schwartz, RFC, CWS, CFS Michael L. Schwartz, RFC, CWS, CFS's Independent Financial Group LLC Experience September 2013 - Present
Job Published Author, Wealth Manager, President at Schwartz Financial, Husband and Father
Industry Financial Services
Experience
Independent Financial Group LLC September 2013 - Present
Schwartz Financial Services April 1978 - Present
Schwartz Financial Services April 1978 - Present
First Allied Securities December 2007 - September 2013
Next Financial December 2004 - December 2007
SunAmerica Securities 1984 - 1998
Prudential Insurance May 1977 - March 1978
Skills
Financial Planning, Wealth Management, Insurance Planning, Estate Planning, Private Equity, Wealth Transfer, Private Client Wealth..., Multi Generational..., Disability Insurance..., Investments, Alternative Investments, Tax Preparation, Estate Tax Planning, Retirement Planning, Investment Advisory, Life Insurance, 401k Rollovers, Succession Planning, Retirement, Securities, Financial Services, IRAs, Insurance, Finance
Education
Institute of Business & Finance 2010 — 2010
BCE, Board Certified in Estate Planning
Cannon Wealth Institute 2008 — 2010
CWS, Wealth Management
American College 1994 — 2003
Insurance, Investments
La Salle University 1977 — 1978
BA, Business
Penn State University 1977 — 1978
Olney High 1969 — 1972
Independent Financial Group LLC September 2013 - Present
Schwartz Financial Services April 1978 - Present
Schwartz Financial Services April 1978 - Present
First Allied Securities December 2007 - September 2013
Next Financial December 2004 - December 2007
SunAmerica Securities 1984 - 1998
Prudential Insurance May 1977 - March 1978
Skills
Financial Planning, Wealth Management, Insurance Planning, Estate Planning, Private Equity, Wealth Transfer, Private Client Wealth..., Multi Generational..., Disability Insurance..., Investments, Alternative Investments, Tax Preparation, Estate Tax Planning, Retirement Planning, Investment Advisory, Life Insurance, 401k Rollovers, Succession Planning, Retirement, Securities, Financial Services, IRAs, Insurance, Finance
Education
Institute of Business & Finance 2010 — 2010
BCE, Board Certified in Estate Planning
Cannon Wealth Institute 2008 — 2010
CWS, Wealth Management
American College 1994 — 2003
Insurance, Investments
La Salle University 1977 — 1978
BA, Business
Penn State University 1977 — 1978
Olney High 1969 — 1972
Derek Finch Derek Finch's Independent Financial Group LLC Experience June 2013 - Present
Job Branch Inspector at Independent Financial Group, LLC
Industry Financial Services
Experience
Independent Financial Group, LLC June 2013 - Present
Independent Financial Group, LLC May 2012 - June 2013
Sigma Financial March 2011 - May 2012
Inside-Out Window Cleaners May 2010 - November 2011
Sigma Financial Corporation/Sammons Securities Company November 2004 - April 2011
RFC Financial Planners November 2009 - June 2010
Skills
Alternative Investments, Investment Advisory, Investments, Financial Planners, FINRA, Series 7, Investment Strategies, Asset Allocation, Variable Annuities, Financial Services, Financial Advisory, Customer Service
Education
Eastern Michigan University
Oakland Community College
Washtenaw Community College
Independent Financial Group, LLC June 2013 - Present
Independent Financial Group, LLC May 2012 - June 2013
Sigma Financial March 2011 - May 2012
Inside-Out Window Cleaners May 2010 - November 2011
Sigma Financial Corporation/Sammons Securities Company November 2004 - April 2011
RFC Financial Planners November 2009 - June 2010
Skills
Alternative Investments, Investment Advisory, Investments, Financial Planners, FINRA, Series 7, Investment Strategies, Asset Allocation, Variable Annuities, Financial Services, Financial Advisory, Customer Service
Education
Eastern Michigan University
Oakland Community College
Washtenaw Community College
Nelson Willard Nelson Willard's Independent Financial Group LLC Experience 2011 - Present
Job Manager, Advertising at Independent Financial Group LLC
Industry Investment Management
Experience
Independent Financial Group LLC 2011 - Present
John Hancock Wealth Management November 2007 - January 2011
John Hancock Wealth Management November 2007 - January 2011
GoldLatch, L.LC January 2008 - May 2008
· Portfolio Management April 2007 - November 2007
United States Postal Service May 2005 - May 2007
Skills
Series 24, General Securities..., Series 7, Market Research, Strategic Planning, Investments, Strategic Financial..., FINRA, Financial Analysis, Finance, Alternative Investments, Marketing, Mutual Funds, Oil & Gas Industry, Financial Planning, Social Media Marketing, Financial Modeling, Securities, Credit, Project Management, Budgets, Microsoft Excel, Advertising Research, Access, CRM, Analysis, SEM, Business Process, Equities, Customer Satisfaction, Advertising
Education
Bachelor's of Science 2004 — 2009
Bachelor of Science (BS), Marketing
University of New Hampshire - Whittemore School of Business and Economics 2004 — 2008
Marketing
Exeter High School 2000 — 2003
High School
Independent Financial Group LLC 2011 - Present
John Hancock Wealth Management November 2007 - January 2011
John Hancock Wealth Management November 2007 - January 2011
GoldLatch, L.LC January 2008 - May 2008
· Portfolio Management April 2007 - November 2007
United States Postal Service May 2005 - May 2007
Skills
Series 24, General Securities..., Series 7, Market Research, Strategic Planning, Investments, Strategic Financial..., FINRA, Financial Analysis, Finance, Alternative Investments, Marketing, Mutual Funds, Oil & Gas Industry, Financial Planning, Social Media Marketing, Financial Modeling, Securities, Credit, Project Management, Budgets, Microsoft Excel, Advertising Research, Access, CRM, Analysis, SEM, Business Process, Equities, Customer Satisfaction, Advertising
Education
Bachelor's of Science 2004 — 2009
Bachelor of Science (BS), Marketing
University of New Hampshire - Whittemore School of Business and Economics 2004 — 2008
Marketing
Exeter High School 2000 — 2003
High School
Marilyn Wilson Marilyn Wilson's Independent Financial Group LLC Experience March 2014 - Present
Job Operations Specialist at Independent Financial Group LLC
Industry Financial Services
Experience
Independent Financial Group LLC March 2014 - Present
LPL Financial June 2013 - March 2014
Quidel November 2012 - June 2013
Financial Planning Association February 2012 - May 2012
Something Silver June 2011 - April 2012
Skills
Microsoft Excel, Sales, Microsoft Word, Auditing, Marketing, Financial Analysis, Time Management, SAP ERP, Financial Modeling, Financial Statement..., Microsoft Office, Merchandising, Retail, Customer Service, PowerPoint
Education
University of San Diego 2008 — 2012
Bachelor of Business Administration (B.B.A.), Finance
Independent Financial Group LLC March 2014 - Present
LPL Financial June 2013 - March 2014
Quidel November 2012 - June 2013
Financial Planning Association February 2012 - May 2012
Something Silver June 2011 - April 2012
Skills
Microsoft Excel, Sales, Microsoft Word, Auditing, Marketing, Financial Analysis, Time Management, SAP ERP, Financial Modeling, Financial Statement..., Microsoft Office, Merchandising, Retail, Customer Service, PowerPoint
Education
University of San Diego 2008 — 2012
Bachelor of Business Administration (B.B.A.), Finance
Kian Rafia Kian Rafia's Independent Financial Group LLC Experience April 2015 - Present
Job
Industry Financial Services
Experience
Independent Financial Group LLC April 2015 - Present
Cetera Financial Group April 2014 - December 2014
Cetera Financial Group August 2010 - April 2014
LPL Financial Services May 2008 - September 2010
Lord Abbett & Co. LLC March 2005 - May 2008
PwC July 1998 - February 2002
Nordstrom 1996 - 1996
Skills
Wealth Management, Investments, Investment Advisory..., RIA, Asset Managment, Mutual Funds, Alternative Investments, Series 7, eRIA, Strategic M&A, Retirement, Financial Modeling, Investment Advisory, Mergers & Acquisitions, Due Diligence, Financial Advisory, Financial Services, Retirement Planning, Strategy, Asset Management, Finance, Business Development, Cross-functional Team..., Equities, Asset Allocation, Portfolio Management
Education
The Ohio State University 1993 — 1997
B.S Science, Industrial Engineering
Independent Financial Group LLC April 2015 - Present
Cetera Financial Group April 2014 - December 2014
Cetera Financial Group August 2010 - April 2014
LPL Financial Services May 2008 - September 2010
Lord Abbett & Co. LLC March 2005 - May 2008
PwC July 1998 - February 2002
Nordstrom 1996 - 1996
Skills
Wealth Management, Investments, Investment Advisory..., RIA, Asset Managment, Mutual Funds, Alternative Investments, Series 7, eRIA, Strategic M&A, Retirement, Financial Modeling, Investment Advisory, Mergers & Acquisitions, Due Diligence, Financial Advisory, Financial Services, Retirement Planning, Strategy, Asset Management, Finance, Business Development, Cross-functional Team..., Equities, Asset Allocation, Portfolio Management
Education
The Ohio State University 1993 — 1997
B.S Science, Industrial Engineering
Sean Shaughnessey's Independent Financial Group LLC Experience September 2014 - Present
Job Financial Advisor at Independent Financial Group LLC
Industry Investment Management
Experience
Independent Financial Group LLC September 2014 - Present
Health Sabbatical April 2011 - September 2014
S.P. Shaughnessey & Company March 2002 - April 2011
Advanced Equities June 2007 - March 2010
Merrill Lynch October 2005 - June 2007
A.G. Edwards & Sons, Inc. June 1998 - March 2002
Merrill Lynch July 1995 - June 1998
Skills
Finance, Entrepreneurship, Leadership, Investments, Financial Planning, Strategic Planning, Investment Management, Wealth Management, Asset Management, Management, Financial Advisory, Financial Services, Small Business, Securities, Venture Capital, Insurance, Investment Advisory, Marketing, Retirement Planning
Education
University of Missouri-Columbia 1990 — 1994
BA, History
The Academy of the New Church 1987 — 1990
Independent Financial Group LLC September 2014 - Present
Health Sabbatical April 2011 - September 2014
S.P. Shaughnessey & Company March 2002 - April 2011
Advanced Equities June 2007 - March 2010
Merrill Lynch October 2005 - June 2007
A.G. Edwards & Sons, Inc. June 1998 - March 2002
Merrill Lynch July 1995 - June 1998
Skills
Finance, Entrepreneurship, Leadership, Investments, Financial Planning, Strategic Planning, Investment Management, Wealth Management, Asset Management, Management, Financial Advisory, Financial Services, Small Business, Securities, Venture Capital, Insurance, Investment Advisory, Marketing, Retirement Planning
Education
University of Missouri-Columbia 1990 — 1994
BA, History
The Academy of the New Church 1987 — 1990
Angela Ayers's Independent Financial Group LLC Experience September 2012 - July 2013
Job Agency Owner, Ayers Family Insurance Agency at Allstate
Industry Insurance
Experience
Allstate Financial Services, LLC December 2014 - Present
Independent Financial Group LLC September 2012 - July 2013
UBS Wealth Management November 2010 - September 2012
Morgan Stanley Wealth Management October 2007 - October 2010
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Contact Management, Customer Service, PowerPoint, English, Windows, Research, Outlook, Teaching, Photoshop, Public Speaking, Office Administration, Life Insurance, General Insurance, Fixed Annuities, Variable Annuities, CRM Databases, Team Building, Event Planning, Business Planning, Equities, ETFs, Mutual Funds, Commercial Insurance, Universal Life, P&C Insurance, Marketing, Strategic Planning, Financial Planning, Leadership, Sales, Social Networking, Social Media, Marketing Strategy, Insurance
Education
Purdue University 1981 — 1985
Bachelor of Arts (B.A.), Communications/Public Relations
Allstate Financial Services, LLC December 2014 - Present
Independent Financial Group LLC September 2012 - July 2013
UBS Wealth Management November 2010 - September 2012
Morgan Stanley Wealth Management October 2007 - October 2010
Skills
Microsoft Office, Microsoft Excel, Microsoft Word, Contact Management, Customer Service, PowerPoint, English, Windows, Research, Outlook, Teaching, Photoshop, Public Speaking, Office Administration, Life Insurance, General Insurance, Fixed Annuities, Variable Annuities, CRM Databases, Team Building, Event Planning, Business Planning, Equities, ETFs, Mutual Funds, Commercial Insurance, Universal Life, P&C Insurance, Marketing, Strategic Planning, Financial Planning, Leadership, Sales, Social Networking, Social Media, Marketing Strategy, Insurance
Education
Purdue University 1981 — 1985
Bachelor of Arts (B.A.), Communications/Public Relations
Victoria Plum Victoria Plum's Independent Financial Group LLC Experience March 2015 - Present
Job Registered Representative at Independent Financial Group LLC
Industry Financial Services
Experience
Independent Financial Group LLC March 2015 - Present
Cinergy Financial March 2011 - July 2014
Merrill Lynch January 1991 - August 1996
American Funds September 1986 - May 1990
Skills
Investments, Securities, Retirement Planning, Financial Services, Life Insurance, Investment Strategies, Financial Goals, Operations Management, Office Management, Office Administration, Mutual Funds, Variable Annuities, Alternative Investments, Customer Service, Client Education, Educational Seminars, Sales, Financial Planning
Education
California State University-Long Beach 1983 — 1985
Education
Independent Financial Group LLC March 2015 - Present
Cinergy Financial March 2011 - July 2014
Merrill Lynch January 1991 - August 1996
American Funds September 1986 - May 1990
Skills
Investments, Securities, Retirement Planning, Financial Services, Life Insurance, Investment Strategies, Financial Goals, Operations Management, Office Management, Office Administration, Mutual Funds, Variable Annuities, Alternative Investments, Customer Service, Client Education, Educational Seminars, Sales, Financial Planning
Education
California State University-Long Beach 1983 — 1985
Education
Amy McNally Amy McNally's Independent Financial Group LLC Experience April 2013 - May 2015
Job Relationship Manager at J.W. Cole Financial, Inc.
Industry Financial Services
Experience
J.W. Cole Financial, Inc. May 2015 - Present
Independent Financial Group LLC April 2013 - May 2015
Wall Street Financial Group October 1998 - April 2013
Skills
Retirement Planning, Securities, Asset Management, Investments, Mutual Funds, Financial Advisory, Asset Allocation, ETFs, IRAs, Variable Annuities, Fixed Annuities, Stocks, 529 Plans, Separately Managed..., Asset Managment
Education
Saint John Fisher College 1994 — 1998
BA, Economics
J.W. Cole Financial, Inc. May 2015 - Present
Independent Financial Group LLC April 2013 - May 2015
Wall Street Financial Group October 1998 - April 2013
Skills
Retirement Planning, Securities, Asset Management, Investments, Mutual Funds, Financial Advisory, Asset Allocation, ETFs, IRAs, Variable Annuities, Fixed Annuities, Stocks, 529 Plans, Separately Managed..., Asset Managment
Education
Saint John Fisher College 1994 — 1998
BA, Economics
Jim Hanson CPA/PFS Jim Hanson CPA/PFS's Independent Financial Group LLC Experience June 2011 - Present
Job James P Hanson, CPA/PFS
Industry Financial Services
Experience
Independent Financial Group LLC June 2011 - Present
James P Hanson Accountancy Corporation 1979 - Present
MCL Financial Group, Inc. July 2006 - June 2011
Skills
Series 7, Strategic Financial..., Securities, Series 63, Retirement, Investment Advisory, Roth IRA, Alternative Investments, Retirement Planning, Mutual Funds, IRAs, Asset Management, Wealth Management, Financial Advisory, Investment Strategies, Investments, Series 24, Estate Planning
Education
California State University, Fresno 1966 — 1968
BS, Accounting
Independent Financial Group LLC June 2011 - Present
James P Hanson Accountancy Corporation 1979 - Present
MCL Financial Group, Inc. July 2006 - June 2011
Skills
Series 7, Strategic Financial..., Securities, Series 63, Retirement, Investment Advisory, Roth IRA, Alternative Investments, Retirement Planning, Mutual Funds, IRAs, Asset Management, Wealth Management, Financial Advisory, Investment Strategies, Investments, Series 24, Estate Planning
Education
California State University, Fresno 1966 — 1968
BS, Accounting
Sven Meza, CRPC® Sven Meza, CRPC®'s Independent Financial Group LLC Experience December 2014 - Present
Job at Independent Financial Group
Industry Financial Services
Experience
Independent Financial Group LLC December 2014 - Present
LPL Financial June 2013 - Present
LPL Financial May 2011 - June 2013
ING June 2009 - May 2011
AIG January 2007 - February 2009
Skills
Retirement Planning, Fixed Annuities, Strategic Financial..., Mutual Funds, Estate Planning, Customer Service, Sales, Financial Planning, Deferred Compensation, Variable Annuities, Annuities, Compliance, Wealth Management, Investment Management, Investment Advisory, Financial Advisory, Investment Advisor..., Alternative Investments, Series 7, Series 24, Series 66, Series 63, Employee Benefits
Education
San Diego State University-California State University 2002 — 2006
BA, Public Administration
Independent Financial Group LLC December 2014 - Present
LPL Financial June 2013 - Present
LPL Financial May 2011 - June 2013
ING June 2009 - May 2011
AIG January 2007 - February 2009
Skills
Retirement Planning, Fixed Annuities, Strategic Financial..., Mutual Funds, Estate Planning, Customer Service, Sales, Financial Planning, Deferred Compensation, Variable Annuities, Annuities, Compliance, Wealth Management, Investment Management, Investment Advisory, Financial Advisory, Investment Advisor..., Alternative Investments, Series 7, Series 24, Series 66, Series 63, Employee Benefits
Education
San Diego State University-California State University 2002 — 2006
BA, Public Administration
Isaiah Mitchell Isaiah Mitchell's Independent Financial Group LLC Experience September 2013 - Present
Job Manager of Insurance
Industry Financial Services
Experience
Independent Financial Group LLC September 2013 - Present
ING Financial Partners February 2013 - September 2013
First Allied Securities, Inc. November 2006 - January 2013
AIG SunAmerica February 2004 - October 2006
WS Griffith Securities, Inc. November 2000 - January 2004
Skills
Series 7, Series 63, Alternative Investments, Wealth Management, Securities, Retirement Planning, Mutual Funds, Investment Strategies, Retirement, Investments, Asset Allocation, Investment Advisory, Motivated self-starter, Financial Advisory, Private Equity, Building Relationships, Financial Planning, Asset Management, Financial Services
Education
San Diego State University-California State University 1996 — 2000
Economics, Economics
Independent Financial Group LLC September 2013 - Present
ING Financial Partners February 2013 - September 2013
First Allied Securities, Inc. November 2006 - January 2013
AIG SunAmerica February 2004 - October 2006
WS Griffith Securities, Inc. November 2000 - January 2004
Skills
Series 7, Series 63, Alternative Investments, Wealth Management, Securities, Retirement Planning, Mutual Funds, Investment Strategies, Retirement, Investments, Asset Allocation, Investment Advisory, Motivated self-starter, Financial Advisory, Private Equity, Building Relationships, Financial Planning, Asset Management, Financial Services
Education
San Diego State University-California State University 1996 — 2000
Economics, Economics
Brent Wells, CFP®'s Independent Financial Group LLC Experience February 2014 - Present
Job Sr. Branch Supervisor at Independent Financial Group LLC
Industry Financial Services
Experience
Independent Financial Group LLC February 2014 - Present
Fifty Barrels Urban Winery & Tasting Room July 2000 - October 2014
LPL Financial Services April 2008 - February 2014
TD Ameritrade April 2004 - April 2008
TD Ameritrade January 2001 - April 2004
Skills
Series 7, FINRA, Series 63, Financial Advisory, Securities, Supervision, Management, Series 24, Trading, Uniform Combined State..., Series 66, Salesforce.com, SharePoint
Education
California State University San Marcos 1995 — 2000
Bachelor’s Degree, Social Science
Independent Financial Group LLC February 2014 - Present
Fifty Barrels Urban Winery & Tasting Room July 2000 - October 2014
LPL Financial Services April 2008 - February 2014
TD Ameritrade April 2004 - April 2008
TD Ameritrade January 2001 - April 2004
Skills
Series 7, FINRA, Series 63, Financial Advisory, Securities, Supervision, Management, Series 24, Trading, Uniform Combined State..., Series 66, Salesforce.com, SharePoint
Education
California State University San Marcos 1995 — 2000
Bachelor’s Degree, Social Science
Chuck des Bordes's Independent Financial Group LLC Experience April 2005 - August 2007
Job Regional Human Resources Consultant at W.O.R.L.D. Associates
Industry Human Resources
Experience
W.O.R.L.D. Associates October 2014 - Present
ConfidentVision March 2010 - September 2014
The Retirement Group May 2008 - October 2009
Reilly Financial Advisors 2007 - 2008
Independent Financial Group LLC April 2005 - August 2007
Bachrach & Associates 2007 - 2007
Trilogy Financial Services 2002 - 2005
Kforce Inc. 2000 - 2002
O'Neal Steel 1996 - 2000
United States Marine Corps 1989 - 1996
Skills
Investments, Retirement, Financial Services, Retirement Planning, Series 7, Strategic Financial..., Team Building, Insurance, Securities, Wealth Management, Investment Management, Sales, 401k, Long Term Care Insurance, Mutual Funds, Strategic Planning, Series 63, Employee Benefits, Small Business, Leadership, Alternative Investments, Portfolio Management, Risk Management, Asset Management, Estate Planning, Asset Allocation, Series 65, Wealth Management..., Term Life Insurance, Personal Finance, Process Improvement, Asset Managment, Finance, Fixed Annuities, Life Insurance, Investment Advisory, Investment Strategies, Financial Planners, Roth IRA, Financial Advisory, Series 6, Variable Annuities, Wealth, Long-term Care, Equities, Universal Life, IRAs, 401k Rollovers, Wealth Accumulation, Disability Insurance
Education
Texas A&M University 1985 — 1989
Bachelor of Science, Economics
Baton Rouge Magnet High School 1982 — 1985
Robert E Lee High School 1981 — 1982
W.O.R.L.D. Associates October 2014 - Present
ConfidentVision March 2010 - September 2014
The Retirement Group May 2008 - October 2009
Reilly Financial Advisors 2007 - 2008
Independent Financial Group LLC April 2005 - August 2007
Bachrach & Associates 2007 - 2007
Trilogy Financial Services 2002 - 2005
Kforce Inc. 2000 - 2002
O'Neal Steel 1996 - 2000
United States Marine Corps 1989 - 1996
Skills
Investments, Retirement, Financial Services, Retirement Planning, Series 7, Strategic Financial..., Team Building, Insurance, Securities, Wealth Management, Investment Management, Sales, 401k, Long Term Care Insurance, Mutual Funds, Strategic Planning, Series 63, Employee Benefits, Small Business, Leadership, Alternative Investments, Portfolio Management, Risk Management, Asset Management, Estate Planning, Asset Allocation, Series 65, Wealth Management..., Term Life Insurance, Personal Finance, Process Improvement, Asset Managment, Finance, Fixed Annuities, Life Insurance, Investment Advisory, Investment Strategies, Financial Planners, Roth IRA, Financial Advisory, Series 6, Variable Annuities, Wealth, Long-term Care, Equities, Universal Life, IRAs, 401k Rollovers, Wealth Accumulation, Disability Insurance
Education
Texas A&M University 1985 — 1989
Bachelor of Science, Economics
Baton Rouge Magnet High School 1982 — 1985
Robert E Lee High School 1981 — 1982
Tony Bonafede's Independent Financial Group LLC Experience June 2014 - Present
Job Compliance Officer, Advisory Services
Industry Financial Services
Experience
Independent Financial Group LLC June 2014 - Present
LPL Financial Services April 2004 - May 2014
Financial Network Investment Corporation August 2001 - April 2004
Oggi's Pizza and Brewing Company August 1996 - August 2001
Education
San Diego State University-California State University 1996 — 2000
Bachelor of Science (BS), Finance, General
Independent Financial Group LLC June 2014 - Present
LPL Financial Services April 2004 - May 2014
Financial Network Investment Corporation August 2001 - April 2004
Oggi's Pizza and Brewing Company August 1996 - August 2001
Education
San Diego State University-California State University 1996 — 2000
Bachelor of Science (BS), Finance, General
Rory Miller II's Independent Financial Group LLC Experience May 2014 - April 2015
Job Royalties Specialist at eBioscience
Industry Financial Services
Experience
eBioscience April 2015 - Present
Independent Financial Group, LLC May 2014 - April 2015
LPL Financial Services April 2007 - April 2014
Solera Inc. 2006 - 2007
Skills
Series 24, Securities, Series 7, Financial Services, FINRA, Investments, Wealth Management, Mutual Funds, Investment Advisory, AML, Equities, Risk Management, Alternative Investments, Asset Management, Investment Management, Retirement Planning, 401k, Series 63, Asset Allocation, Portfolio Management, Due Diligence, Financial Risk, Fixed Annuities, Bloomberg, Hedge Funds, Financial Advisory, Retirement, Banking, Insurance, Uniform Combined State..., Securities Regulation, Fixed Income, Strategic Financial..., KYC, Capital Markets
Education
Coleman University 2011 — 2012
IT & Network Security, 3.2
San Diego Mesa College 2008 — 2010
Business Administration and Management, General
eBioscience April 2015 - Present
Independent Financial Group, LLC May 2014 - April 2015
LPL Financial Services April 2007 - April 2014
Solera Inc. 2006 - 2007
Skills
Series 24, Securities, Series 7, Financial Services, FINRA, Investments, Wealth Management, Mutual Funds, Investment Advisory, AML, Equities, Risk Management, Alternative Investments, Asset Management, Investment Management, Retirement Planning, 401k, Series 63, Asset Allocation, Portfolio Management, Due Diligence, Financial Risk, Fixed Annuities, Bloomberg, Hedge Funds, Financial Advisory, Retirement, Banking, Insurance, Uniform Combined State..., Securities Regulation, Fixed Income, Strategic Financial..., KYC, Capital Markets
Education
Coleman University 2011 — 2012
IT & Network Security, 3.2
San Diego Mesa College 2008 — 2010
Business Administration and Management, General
gerald woodward's Independent Financial Group LLC Experience August 2008 - Present
Job Independent Financial Services Professional
Industry Financial Services
Experience
Independent Financial Group LLC August 2008 - Present
Skills
Retirement Planning, Portfolio Management, Equities, Investments, Banking, Strategic Financial..., Asset Management, Wealth Management, Retirement, Mutual Funds
Education
The University of Texas at Austin 1955 — 1957
BS Education, College Of Financial Planning/CFP Inactive
Independent Financial Group LLC August 2008 - Present
Skills
Retirement Planning, Portfolio Management, Equities, Investments, Banking, Strategic Financial..., Asset Management, Wealth Management, Retirement, Mutual Funds
Education
The University of Texas at Austin 1955 — 1957
BS Education, College Of Financial Planning/CFP Inactive
Karla E. Thompson's Independent Financial Group LLC Experience October 2013 - Present
Job Experienced Relationship Manager
Industry Financial Services
Experience
Independent Financial Group LLC October 2013 - Present
Girard Securities, Inc. January 2007 - October 2013
LPL August 2006 - January 2007
LPL 2004 - 2006
National car rental 1995 - 2000
Education
National University 2012 — 2016
Bachelor of Science (BS), Business Administration and Management, General
Riverside Community College 1993 — 1995
Associate of Science (A.S.)
Riverside Community College 1993 — 1995
Associate of Arts (AA)
Independent Financial Group LLC October 2013 - Present
Girard Securities, Inc. January 2007 - October 2013
LPL August 2006 - January 2007
LPL 2004 - 2006
National car rental 1995 - 2000
Education
National University 2012 — 2016
Bachelor of Science (BS), Business Administration and Management, General
Riverside Community College 1993 — 1995
Associate of Science (A.S.)
Riverside Community College 1993 — 1995
Associate of Arts (AA)
Vania Montes de Oca, MBA's Independent Financial Group LLC Experience May 2013 - October 2013
Job Senior Compliance Analyst at E*TRADE Financial Corporation
Industry Financial Services
Experience
E*TRADE Financial Corporation March 2015 - Present
UBS Wealth Management November 2013 - Present
Independent Financial Group LLC May 2013 - October 2013
Independent Financial Group LLC October 2009 - April 2013
Accountemps July 2009 - December 2009
ING DIRECT España January 2008 - April 2009
Northwestern Mutual July 2007 - December 2007
Skills
Series 7, Series 66
Education
Endicott College 2008 — 2009
Master of Business Administration (M.B.A.), Master in Business Administration
University of San Diego 2003 — 2005
Bachelor, Business Adminstration
Academy of Our Lady of Peace
E*TRADE Financial Corporation March 2015 - Present
UBS Wealth Management November 2013 - Present
Independent Financial Group LLC May 2013 - October 2013
Independent Financial Group LLC October 2009 - April 2013
Accountemps July 2009 - December 2009
ING DIRECT España January 2008 - April 2009
Northwestern Mutual July 2007 - December 2007
Skills
Series 7, Series 66
Education
Endicott College 2008 — 2009
Master of Business Administration (M.B.A.), Master in Business Administration
University of San Diego 2003 — 2005
Bachelor, Business Adminstration
Academy of Our Lady of Peace
David A Fortune's Independent Financial Group LLC Experience January 2011 - Present
Job Financial Advisor at Independent Financial Group , Inc.
Industry Financial Services
Experience
Independent Financial Group LLC January 2011 - Present
Education
Loyola Marymount University, College of Business Administration
Bachelor of Business Administration, Finance
Independent Financial Group LLC January 2011 - Present
Education
Loyola Marymount University, College of Business Administration
Bachelor of Business Administration, Finance
Jonathan Bischmann's Independent Financial Group LLC Experience April 2008 - April 2011
Job Partner & Operations Manager
Industry Financial Services
Experience
Tigress Financial Partners June 2014 - Present
Commonwealth Financial Network July 2013 - May 2014
World Trade Financial Group September 2011 - January 2013
Independent Financial Group LLC April 2008 - April 2011
Skills
Portfolio Management, Management, Equities, Investments, Trading, Finance, Risk Management, Asset Management, Financial Analysis, Strategic Planning
Education
Arizona State University 1996 — 1999
Bachelor of Arts (B.A.), Chemistry
Fort Lewis College 1995 — 1996
University of San Diego 1994 — 1995
Tigress Financial Partners June 2014 - Present
Commonwealth Financial Network July 2013 - May 2014
World Trade Financial Group September 2011 - January 2013
Independent Financial Group LLC April 2008 - April 2011
Skills
Portfolio Management, Management, Equities, Investments, Trading, Finance, Risk Management, Asset Management, Financial Analysis, Strategic Planning
Education
Arizona State University 1996 — 1999
Bachelor of Arts (B.A.), Chemistry
Fort Lewis College 1995 — 1996
University of San Diego 1994 — 1995
Andrew Vaughn's Independent Financial Group LLC Experience July 2008 - Present
Job VicePresident, Supervision, Independent Financial Group LLC
Industry Financial Services
Experience
Independent Financial Group LLC July 2008 - Present
Citibank NA 2001 - 2006
LPL Financial May 2000 - September 2001
Jack White and Co. TD Ameritrade June 1996 - 2000
Skills
Asset Management, FINRA, Investments, Asset Managment, Mutual Funds, Portfolio Management, Alternative Investments, Equities, Investment Advisory, Financial Planning, Series 63, Securities, Financial Services, Strategic Planning, Wealth Management, Asset Allocation, Investment Strategies, Financial Modeling, Series 7, Leadership, Risk Management
Education
University of Southern California 1984 — 1988
Bachelor's degree, Economics
Independent Financial Group LLC July 2008 - Present
Citibank NA 2001 - 2006
LPL Financial May 2000 - September 2001
Jack White and Co. TD Ameritrade June 1996 - 2000
Skills
Asset Management, FINRA, Investments, Asset Managment, Mutual Funds, Portfolio Management, Alternative Investments, Equities, Investment Advisory, Financial Planning, Series 63, Securities, Financial Services, Strategic Planning, Wealth Management, Asset Allocation, Investment Strategies, Financial Modeling, Series 7, Leadership, Risk Management
Education
University of Southern California 1984 — 1988
Bachelor's degree, Economics
Amy Gallego's Independent Financial Group LLC Experience October 2012 - July 2015
Job Private Client Analyst at Dunham & Associates
Industry Investment Management
Experience
Dunham & Associates July 2015 - Present
24 Hour Fitness 2003 - Present
Independent Financial Group LLC October 2012 - July 2015
Rinkey Investments September 2011 - September 2012
AMG Demolition 2009 - 2011
Silverline Construction 2003 - 2008
Nicholas - Applegate October 2000 - June 2003
Nicholas - Applegate September 1999 - October 2000
Scudder Investments 1996 - 1998
Skills
Financial Services, Mutual Funds, Series 7, Retirement Planning, Management, Strategic Planning, Public Speaking, Securities, Microsoft Excel, Microsoft Office, Equities, Leadership, Event Planning, Customer Service, Project Management, Training, Team Building
Education
San Diego State University-California State University
BA, Public Administration
Dunham & Associates July 2015 - Present
24 Hour Fitness 2003 - Present
Independent Financial Group LLC October 2012 - July 2015
Rinkey Investments September 2011 - September 2012
AMG Demolition 2009 - 2011
Silverline Construction 2003 - 2008
Nicholas - Applegate October 2000 - June 2003
Nicholas - Applegate September 1999 - October 2000
Scudder Investments 1996 - 1998
Skills
Financial Services, Mutual Funds, Series 7, Retirement Planning, Management, Strategic Planning, Public Speaking, Securities, Microsoft Excel, Microsoft Office, Equities, Leadership, Event Planning, Customer Service, Project Management, Training, Team Building
Education
San Diego State University-California State University
BA, Public Administration
Timothy J. Sagehorn's Independent Financial Group LLC Experience November 2010 - Present
Job Wealth Manager
Industry Financial Services
Experience
Independent Financial Group, LLC November 2010 - Present
UBS Financial Services February 2001 - December 2008
UBS Financial Services January 2001 - January 2008
Morgan Stanley Smith Barney January 1988 - January 2001
Smith Barney January 1988 - January 2001
Skills
Wealth Management, Retirement Planning, Asset Allocation, Asset Managment, Portfolio Management, Strategic Financial..., Series 7, Retirement, Financial Advisory, Financial Services, Investment Management, High Net Worth...
Education
CIMA Certification-UC Berkeley Haas School of Business 2006 — 2006
University of Minnesota-Twin Cities 1979 — 1984
BS, Business, Finance
Independent Financial Group, LLC November 2010 - Present
UBS Financial Services February 2001 - December 2008
UBS Financial Services January 2001 - January 2008
Morgan Stanley Smith Barney January 1988 - January 2001
Smith Barney January 1988 - January 2001
Skills
Wealth Management, Retirement Planning, Asset Allocation, Asset Managment, Portfolio Management, Strategic Financial..., Series 7, Retirement, Financial Advisory, Financial Services, Investment Management, High Net Worth...
Education
CIMA Certification-UC Berkeley Haas School of Business 2006 — 2006
University of Minnesota-Twin Cities 1979 — 1984
BS, Business, Finance
Tiffany Lay's Independent Financial Group LLC Experience September 2013 - Present
Job Due Diligence Analyst at Independent Financial Group LLC
Industry Financial Services
Experience
Independent Financial Group LLC September 2013 - Present
Independent Financial Group LLC August 2012 - September 2013
Dexcom December 2009 - August 2012
UC San Diego January 2007 - June 2009
GNF June 2008 - September 2008
Skills
Medical Devices, Customer Service, Microsoft Excel, PowerPoint, Healthcare, Microsoft Office, Data Analysis, Outlook, Statistics, Diabetes, Leadership, Public Relations, Marketing, Software Documentation, Social Media, Negotiation
Education
University of California, San Diego 2005 — 2009
B.S, Management Science
Independent Financial Group LLC September 2013 - Present
Independent Financial Group LLC August 2012 - September 2013
Dexcom December 2009 - August 2012
UC San Diego January 2007 - June 2009
GNF June 2008 - September 2008
Skills
Medical Devices, Customer Service, Microsoft Excel, PowerPoint, Healthcare, Microsoft Office, Data Analysis, Outlook, Statistics, Diabetes, Leadership, Public Relations, Marketing, Software Documentation, Social Media, Negotiation
Education
University of California, San Diego 2005 — 2009
B.S, Management Science
Taylor Meriwether's Independent Financial Group LLC Experience January 2014 - May 2014
Job Specialist, Meeting Services at Tenet Healthcare
Industry Events Services
Experience
Tenet Healthcare March 2015 - Present
Tenet Healthcare January 2015 - March 2015
Independent Financial Group, LLC January 2014 - May 2014
Independent Financial Group, LLC August 2013 - January 2014
Texas State University January 2011 - May 2013
Skills
Higher Education, Customer Service, Event Planning, Student Affairs, Student Engagement
Education
Texas State University-San Marcos 2008 — 2013
Bachelor of Arts (B.A.), Psychology, 3.49
Tenet Healthcare March 2015 - Present
Tenet Healthcare January 2015 - March 2015
Independent Financial Group, LLC January 2014 - May 2014
Independent Financial Group, LLC August 2013 - January 2014
Texas State University January 2011 - May 2013
Skills
Higher Education, Customer Service, Event Planning, Student Affairs, Student Engagement
Education
Texas State University-San Marcos 2008 — 2013
Bachelor of Arts (B.A.), Psychology, 3.49
Deloitte
PwC
Ernst & Young
Walgreens
Procter & Gamble
KPMG
PricewaterhouseCoopers
EY