CB
Catherine L. Brown
INDEPENDENT FINANCIAL GROUP
Palm Desert, CA 92260
Some features on this profile are disabled
CRD#: 1332036
CB
Professional summary
Catherine Leigh Brown, who also goes by Cathy Leigh Brown, Cathy Leigh Brown-wellins, Cathy Brown-wellins, Catherine Leigh Schumacher, Cathy Schumacher, Cathy Leigh Wellins, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Palm Desert, California.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Catherine has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cathy Leigh Brown | Cathy Leigh Brown-Wellins | Cathy Brown-Wellins | Catherine Leigh Schumacher | Cathy Schumacher | Cathy Leigh Wellins
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) UNIVERSITY OF NOTRE DAME ALUMNI CLUB PS POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: , Palm Springs CA 92262, United States DESCRIPTION: BOARD MEMBER FOR UNIVERSITY OF NOTRE DAME ALUMNI CLUB PS. (2) REAL ESTATE POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2001 ADDRESS: 44-672 Monterey Ave, Palm Desert CA 92260, United States DESCRIPTION: LANDLORD-PROPERTY MANAGEMENT SERVICES. (3) NOTARY POSITION: Self employed NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/12/2016 ADDRESS: 44-672 Monterey Ave, Palm Desert CA 92260, United States DESCRIPTION: NOTARY (4) LPGA GOLF ASSOCIATION OF PALM SPRINGS POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/20/2002 ADDRESS: various golf courses, CA , United States DESCRIPTION: BOARD MEMBER OF EXECUTIVE WOMAN'S GOLF ASSOCIATION OF PALM SPRINGS. (5) PD CHAMBER OF COMMERCE POSITION: Volunteer NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 07/01/2020 ADDRESS: various business sites, CA , United States DESCRIPTION: BOARD MEMBER OF PALM DESSERT CHAMBER OF COMMERCE. (6) SOROPTIMIST INTERNATIONAL OF PALM DESERT POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2020 ADDRESS: N/A, Palm Desert CA , United States DESCRIPTION: BOARD MEMBER OF SOROPTOMIST INTERNATIONAL OF PALM DESERT. (7) CATHY L. BROWN POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2000 ADDRESS: 44-672 Monterey Ave, Palm Desert CA 92260, United States DESCRIPTION: CA INSURANCE AGENT PROVIDING VARIOUS TYPES OF INSURANCE PRODUCTS (8) CB WEALTH MANAGEMENT POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/20/2000 ADDRESS: 44-672 Monterey Ave, Palm Desert CA 92260, United States DESCRIPTION:100% OWNER AND IAR OF DBA CB WEALTH MANAGEMENT PROVIDING INVESTMENT ADVISORY SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Leigh Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Catherine Leigh Brown'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
February 23, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 44-672 Monterey Ave, Palm Desert, CA 92260RIA
BD
CRD#: 7717
Palm Desert, CA
Current
February 23, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 44-672 Monterey Ave, Palm Desert, CA 92260RIA
BD
CRD#: 7717
Palm Desert, CA
Past
January 26, 2009 - February 18, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
PALM DESERT, CA
Past
January 16, 2009 - February 18, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
PALM DESERT, CA
Past
August 24, 2004 - April 27, 2012
CB WEALTH MANAGEMENT GROUP
RIA
CRD#: 113406
PALM DESERT, CA
Past
July 16, 1999 - January 15, 2009
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
PALM DESERT, CA
Past
July 15, 1999 - January 15, 2009
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
PALM DESERT, CA
Past
August 13, 1996 - July 15, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 22, 1991 - August 14, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Past
January 28, 1991 - May 1, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 9, 1990 - August 20, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 9, 1990 - August 20, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
January 23, 1985 - December 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(3/2/2015)
RR
Arizona(7/16/2009)
IAR
California(2/23/2009)
RR
California(2/24/2009)
RR
Connecticut(1/28/2022)
RR
District of Columbia(5/10/2023)
RR
Florida(9/26/2018)
RR
Georgia(11/1/2024)
RR
Idaho(2/24/2009)
RR
Illinois(4/29/2025)
RR
Iowa(4/28/2016)
RR
Louisiana(11/15/2024)
RR
Montana(9/24/2025)
RR
Nevada(2/23/2009)
RR
New Mexico(1/19/2022)
RR
New York(11/5/2024)
RR
North Carolina(2/23/2009)
RR
Ohio(11/19/2018)
RR
Texas(7/23/2019)
IAR
Texas(8/12/2019)
RR
Washington(8/5/2024)
RR
Wisconsin(9/7/2023)
RR
Wyoming(2/23/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
