JB
James R. Brandt
INDEPENDENT FINANCIAL GROUP
PALATINE, IL 60067
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CRD#: 1374487
JB
Professional summary
James Robert Brandt is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Palatine, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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) WESLYN PROPERTIES FAMILY PARTNERSHIP, 134 W SLADE ST, PALATINE IL; FAMILY PARTNERSHIP IN REAL ESTATE; VP; STARTED 03/01/2009; 16 HRS/MTH; BUY AND LEASE APT BUILDINGS. 2) BRANDT FINANCIAL CONCEPTS INC, 134 W SLADE ST #1, PALATINE IL 60067; VP; BEGAN 3/09; SALES AND SERVICE OF TRADITIONAL INS PRODUCTS; 180 HRS/MTH WITH 180 DURING TRADING HRS. SALE AND SERVICE OF LIFE, MEDICAL DISABILITY LTC AND FIXED ANNUITIES 3) COMMUNITY EMERGENCY RESPONSE TEAM, 134 W SLADE ST #1, PALATINE IL 60067; NONINV RELATED; FEMA CERTIFIED TRAINER; VOLUNTEER TRAINER; STARTED 01/04/2004; 3 HRS/MTH WITH 3 DURING TRADING HRS; TRAIN CIVILIANS IN DISASTER PREPARDNESS. 4) PLUM GROVE HO ASSN, 134 W SLADE ST #1, PALATINE IL 6006J7; NONINV RELATED; HO ASSOCIATION; PRESIDENT; STARTED 04/01/1993; 5 HRS/MTH WITH 5 DURING TRADING HRS. 5) PALATINE FIRE PENSION BOARD, 200 E WOOD ST, PALATINE IL 60067; INV RELATED; FIREFIGHTERS PENSION FUND MANAGEMENT; BOARD MEMBER AND TRUSTEE; STARTED 07/05/2011; 5 HRS/MTH WITH 5 DURING TRADING HRS; PROVIDES OVERSIGHT OF THE FIRMS WHO MANAGE THE PENSION. BRANDT FINANCIAL CONCEPTS, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 160 START DATE: 01/01/1983 ADDRESS: 134 W. Slade St.,, Ste One, Palatine IL 60067, United States DESCRIPTION: Insurance sales and service including life, health, LTC, DI, Dental/Vision, Fix annuities, Lifelock, Healthiest you. OFFICE RENTAL POSITION: Sole Proprietor NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 8 START DATE: 01/01/1983 ADDRESS: 134 W. Slade St.,, Ste One, Palatine IL 60067, United States DESCRIPTION: Property Management PALATINE FIRE PENSION BOARD POSITION: Officer/Director NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2011 ADDRESS: Village of Palatine, 200 E Wood St, Palatine IL 60067, United States DESCRIPTION: Review and approve hiring, firing, DI claims
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Brandt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Robert Brandt'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 3, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 134 W. Slade Street Suite One, Palatine, IL 60067Office #2: 134 W. Slade St., Ste One, Palatine, IL 60067RIA
BD
CRD#: 7717
PALATINE, IL
Current
October 3, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 134 W. Slade Street Suite One, Palatine, IL 60067RIA
BD
CRD#: 7717
PALATINE, IL
Past
January 19, 2024 - October 5, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
PALATINE, IL
Past
January 19, 2024 - October 5, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
PALATINE, IL
Past
February 3, 2009 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
PALATINE, IL
Past
January 27, 1993 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
PALATINE, IL
Past
October 27, 1987 - December 31, 1992
GENEVA SECURITIES,INC.
BD
CRD#: 16178
SCHAUMBURG, IL
Past
January 1, 1987 - November 20, 1987
WHYTECLIFFE SECURITIES INC.
BD
CRD#: 17880
PALATINE, IL
Past
November 11, 1985 - November 21, 1986
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
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(10/3/2024)
RR
Alaska(10/3/2024)
RR
Arizona(10/3/2024)
RR
California(10/3/2024)
RR
Florida(10/3/2024)
RR
Georgia(2/10/2025)
RR
Illinois(10/3/2024)
IAR
Illinois(10/3/2024)
RR
Missouri(10/3/2024)
RR
North Carolina(10/7/2024)
RR
Oregon(10/9/2024)
RR
South Carolina(10/21/2024)
RR
Washington(10/3/2024)
RR
Wisconsin(10/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
