JS
James M. Senglaub
INDEPENDENT FINANCIAL GROUP
Delafield, WI 53018
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CRD#: 1060459
JS
Professional summary
James Mark Senglaub, who also goes by Jim Senglaub, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Delafield, Wisconsin.
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
Jim 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) 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: 03/01/1989 ADDRESS: 3960 Hillside Drive Ste 201, Delafield WI 53018, United States DESCRIPTION: 50% owner of land rented for farm usage to non-related farmers (2) 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 Drive Ste 201, Delafield WI 53018, United States DESCRIPTION: 50% owner of land which is rented to non-related farmers (3) JJ MASON LLC POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2008 ADDRESS: 3960 Hillside Dr Ste 201, Delafield WI 53018, United States DESCRIPTION: 50% owner of land which is rented to non-related farmers (4) JAMES SENGLAUB POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/08/1986 ADDRESS: 3960 Hillside Dr. Suite 201, Delafield WI 53018, United States DESCRIPTION: WI Insurance Agent (5) SENGLAUB FINANCIAL GROUP POSITION: Owner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 04/06/1986 ADDRESS: 3960 Hillside Dr., Ste. 201, Delafield WI 53018, United States DESCRIPTION: DBA used for marketing securities business
CRS (Client Relationship Summary) - RIA
Click below to view James Mark Senglaub's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Mark 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
January 8, 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
September 25, 2014 - January 13, 2020
OSAIC SERVICES, INC.
RIA
CRD#: 133763
DELAFIELD, WI
Past
September 17, 2014 - January 13, 2020
OSAIC SERVICES, INC.
BD
CRD#: 133763
DELAFIELD, WI
Past
May 20, 2010 - September 16, 2014
HARBOUR INVESTMENTS, INC.
RIA
CRD#: 19258
DELAFIELD, WI
Past
February 10, 1994 - September 16, 2014
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
DELAFIELD, WI
Past
January 18, 1993 - May 6, 1999
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
February 24, 1992 - January 1, 1993
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
MINOT, ND
Past
February 21, 1990 - February 4, 1992
OAK BROOK SECURITIES CORP.
BD
CRD#: 16886
OAKBROOK TERRACE, IL
Past
April 2, 1986 - February 10, 1990
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
MINOT, ND
Past
August 30, 1982 - April 8, 1986
CHARTER SECURITIES CORPORATION
BD
CRD#: 7062
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
Colorado(1/8/2020)
RR
Connecticut(5/19/2022)
RR
Florida(1/8/2020)
RR
Illinois(4/14/2020)
RR
Iowa(1/8/2020)
RR
Kentucky(1/8/2020)
RR
Mississippi(1/4/2022)
RR
Montana(3/9/2020)
RR
Nevada(1/27/2020)
RR
Tennessee(1/8/2020)
RR
Washington(1/8/2020)
RR
Wisconsin(1/8/2020)
IAR
Wisconsin(1/8/2020)
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#: 7717Delafield, WI 53018TRUST BUT VERIFY
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