JS
Jeffrey W. Senglaub
INDEPENDENT FINANCIAL GROUP
Delafield, WI 53018
Some features on this profile are disabled
CRD#: 1004471
JS
Professional summary
Jeffrey William Senglaub, who also goes by Jeff Senglaub, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Delafield, Wisconsin.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Jeffrey has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Senglaub
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) FOX RIVER ACRES LLC POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/06/2017 ADDRESS: 3960 Hillside Dr Ste 201, Delafield WI 53018, United States DESCRIPTION: 50% owner of hunting land (2) HILLCREST OF WISCONSIN LLC POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2000 ADDRESS: 3960 Hillside Drive #201, Delafield WI 53018, United States DESCRIPTION: 50% owner of office building in which branch is located out of (3) JJ MASON POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 275 Glen Court, Brigg WI 53920, United States DESCRIPTION: 50% owner of hunting land (4) MCSENG LLC POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1998 ADDRESS: 275 Glen Court, Briggsville WI 53920, United States DESCRIPTION: 50% owner of hunting land and home (5) EXECUTIVE PENSION DESIGN INC. POSITION: Owner NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/23/2005 ADDRESS: 3960 Hillside Drive #201, Delafield WI 53018, United States DESCRIPTION: 80% owner of business entity for tax and investment purposes (6) SENGLAUB FAMILY LIMITED PARTNERSHIP POSITION: Owner NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 3960 Hillside Drive #201, Delafield WI 53018, United States DESCRIPTION: 50% owner of business entity for tax and investment purposes. (7) SENGLAUB FINANCIAL GROUP POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/10/2018 ADDRESS: 3960 Hillside Drive #201, Delafield WI 53018, United States DESCRIPTION: Registered Rep at DBA (8) LION STREET POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2014 ADDRESS: 515 Congress Ave Ste 2500, Austin TX 78701, United States DESCRIPTION: Life insurance group for advisors
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey William Senglaub's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey William Senglaub's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 19, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3960 Hillside Dr. Ste. 201, Delafield, WI 53018RIA
BD
CRD#: 7717
Delafield, WI
Current
January 8, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3960 Hillside Dr. Ste. 201, Delafield, WI 53018RIA
BD
CRD#: 7717
Delafield, WI
Past
October 31, 2008 - January 13, 2020
OSAIC SERVICES, INC.
BD
CRD#: 133763
DELAFIELD, WI
Past
August 28, 1998 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
DELAFIELD, WI
Past
November 27, 1992 - August 13, 1998
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
January 28, 1991 - January 1, 1993
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
MINOT, ND
Past
April 2, 1986 - December 8, 1990
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
MINOT, ND
Past
July 1, 1982 - April 8, 1986
CHARTER SECURITIES CORPORATION
BD
CRD#: 7062
Past
August 31, 1981 - February 26, 1982
AFFILIATED INVESTMENT SECURITIES, INC.
BD
CRD#: 10039
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/8/2020)
RR
Florida(1/28/2021)
RR
Georgia(2/26/2025)
RR
Illinois(3/9/2020)
RR
Indiana(1/31/2020)
RR
Iowa(1/13/2020)
RR
Kansas(8/24/2021)
RR
Minnesota(1/8/2020)
RR
Mississippi(1/8/2020)
RR
Ohio(5/20/2020)
RR
South Carolina(4/14/2021)
RR
Texas(1/8/2020)
IAR
Texas(10/27/2022)
RR
Washington(9/23/2020)
RR
Wisconsin(1/8/2020)
IAR
Wisconsin(5/19/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/16/1992
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Delafield, WI 53018TRUST BUT VERIFY
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