JP
James M. Patton
INDEPENDENT FINANCIAL GROUP
Woodland Hills, CA 91367
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CRD#: 1273893
JP
Professional summary
James Matthew Patton is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Woodland Hills, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 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) CHASEPARK FINANCIAL POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2010 ADDRESS: 21900 Burbank Blvd., Ste. 3014, Woodland Hills CA 91367, United States DESCRIPTION: 100% OF DBA CHASEPARK FINANCIAL OFFERING SECURITIES, ADVISORY AND INSURANCE SERVICES (2) PRIMARY WEALTH PARTNERS POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2019 ADDRESS: 21900 Burbank Blvd., Ste. 3014, Woodland Hills CA 91367, United States DESCRIPTION: 50% OWNER OF PRIMARY WEALTH PARTNERS OFFERING TAX SERVICES (3) KILLER IDEAS, INC. POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2008 ADDRESS: 2659 32nd St., Santa Monica 90405, United States DESCRIPTION: 100% OWNER OF KILLER IDEAS INC A TAX CONDUIT, NOT MARKETED TO THE PUBLIC (4) ON THE MONEY POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 09/15/2022 ADDRESS: 21900 Burbank Blvd., Ste. 3014, Woodland Hills CA 91367, United States DESCRIPTION: Write the weekly digest.
CRS (Client Relationship Summary) - RIA
Click below to view James Matthew Patton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Matthew Patton'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
October 24, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 21900 Burbank Blvd. Ste. 3014, Woodland Hills, CA 91367RIA
BD
CRD#: 7717
Woodland Hills, CA
Current
October 24, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 21900 Burbank Blvd. Ste. 3014, Woodland Hills, CA 91367RIA
BD
CRD#: 7717
Woodland Hills, CA
Past
August 19, 2014 - October 25, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
Woodland Hills, CA
Past
August 14, 2014 - October 25, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
Woodland Hills, CA
Past
July 3, 2008 - September 12, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOODLAND HILLS, CA
Past
July 3, 2008 - September 12, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
WOODLAND HILLS, CA
Past
March 21, 2005 - July 9, 2008
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
WOODLAND HILLS, CA
Past
March 21, 2005 - July 9, 2008
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
WOODLAND HILLS, CA
Past
June 30, 1999 - March 21, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 5, 1996 - June 29, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 31, 1993 - October 30, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 21, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 20, 1984 - July 17, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(10/24/2017)
RR
California(10/24/2017)
IAR
California(10/25/2017)
RR
Colorado(10/24/2017)
RR
Florida(10/24/2017)
RR
Louisiana(10/24/2017)
IAR
Louisiana(10/24/2017)
RR
Missouri(11/21/2017)
RR
Nevada(10/24/2017)
RR
Oregon(10/25/2017)
RR
Utah(9/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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.
