Catherine L. Brown
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
Aliases
Other business activities
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
Experience
February 23, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 44-672 Monterey Ave, Palm Desert, CA 92260February 23, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 44-672 Monterey Ave, Palm Desert, CA 92260January 26, 2009 - February 18, 2009
WOODBURY FINANCIAL SERVICES, INC.
January 16, 2009 - February 18, 2009
WOODBURY FINANCIAL SERVICES, INC.
August 24, 2004 - April 27, 2012
CB WEALTH MANAGEMENT GROUP
July 16, 1999 - January 15, 2009
NATIONAL PLANNING CORPORATION
July 15, 1999 - January 15, 2009
NATIONAL PLANNING CORPORATION
August 13, 1996 - July 15, 1999
SUNAMERICA SECURITIES, INC.
May 22, 1991 - August 14, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 28, 1991 - May 1, 1991
LEHMAN BROTHERS INC.
February 9, 1990 - August 20, 1990
IDS LIFE INSURANCE COMPANY
February 9, 1990 - August 20, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
January 23, 1985 - December 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/2/2015)
(7/16/2009)
(2/23/2009)
(2/24/2009)
(1/28/2022)
(9/26/2018)
(11/1/2024)
(2/24/2009)
(4/29/2025)
(4/28/2016)
(11/15/2024)
(2/27/2026)
(9/24/2025)
(2/23/2009)
(1/19/2022)
(11/5/2024)
(2/23/2009)
(11/19/2018)
(7/23/2019)
(8/12/2019)
(8/5/2024)
(9/7/2023)
(2/23/2009)
Exams
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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.
