JN
James M. Noto
INDEPENDENT FINANCIAL GROUP
Trinity, FL 34655
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CRD#: 1030904
JN
Professional summary
James Michael Noto, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Trinity, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) WEALTHBUILDERS FINANCIAL GROUP INC POSITION: Agent/Representative NATURE: Consulting Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 35 START DATE: 12/05/1998 ADDRESS: 2154 Seven Springs Blvd., Trinity FL 34655, United States DESCRIPTION: 100% OWNER OF DBA WEALTHBUILDERS FINANCIAL FOR MARKETING PURPOSES (2) RENTAL PROPERTY POSITION: Agent/Representative NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 11/05/2005 ADDRESS: 2154 Seven Springs Blvd., Trinity FL 34655, United States DESCRIPTION: OWNER OF COMMERCIAL REAL ESTATE RENTAL PROPERTY (3) BRADFORD PARK ASSOCIATION POSITION: Agent/Representative NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/05/2005 ADDRESS: 2154 Seven Springs Blvd., Tarpon Springs FL 34689, United States DESCRIPTION: TREASURER FOR HOA FOR BRADFORD PARK ASSOCIATION. (5) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 35 START DATE: 03/18/1999 ADDRESS: 2154 Seven Springs Blvd., Trinity FL 34655, United States DESCRIPTION: INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Noto's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Michael Noto'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®
CFP®
Start date: 1987
Experience
Current
October 22, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2154 Seven Springs Blvd., Trinity, FL 34655RIA
BD
CRD#: 7717
Trinity, FL
Current
October 22, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2154 Seven Springs Blvd., Trinity, FL 34655RIA
BD
CRD#: 7717
Trinity, FL
Past
April 5, 2005 - October 31, 2018
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
TRINITY, FL
Past
March 2, 2005 - October 31, 2018
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
TRINITY, FL
Past
October 8, 1998 - February 17, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
NEW PORT RICHEY, FL
Past
October 2, 1998 - February 17, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
January 2, 1998 - September 18, 1998
VANGUARD CAPITAL
BD
CRD#: 22081
DEL MAR, CA
Past
March 26, 1993 - January 9, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 28, 1982 - April 20, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
Alabama(6/24/2019)
RR
Arkansas(1/25/2019)
RR
Colorado(3/18/2019)
RR
Connecticut(5/16/2019)
RR
Florida(10/23/2018)
IAR
Florida(10/23/2018)
RR
Georgia(10/24/2018)
RR
Illinois(12/19/2018)
RR
Indiana(12/4/2018)
RR
Maryland(10/29/2018)
RR
Michigan(10/22/2018)
RR
Montana(1/25/2019)
RR
New Jersey(10/22/2018)
RR
New York(10/22/2018)
RR
North Carolina(10/22/2018)
RR
North Dakota(10/22/2018)
RR
Ohio(10/22/2018)
RR
Oklahoma(7/9/2025)
RR
Pennsylvania(10/22/2018)
RR
South Carolina(10/24/2018)
RR
South Dakota(10/22/2018)
IAR
Texas(10/22/2018)
RR
Texas(11/9/2018)
RR
Utah(10/22/2018)
RR
Vermont(4/7/2020)
RR
Washington(11/16/2018)
RR
Wisconsin(12/21/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 7717Trinity, FL 34655TRUST BUT VERIFY
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