JF
James L. Flanagan
INDEPENDENT FINANCIAL GROUP
Downers Grove, IL 60515
CRD#: 1812317
JF
Professional summary
James Luke Flanagan is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Downers Grove, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 6 firms and has passed the Series 65, 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)PRO BONO FINANCIAL ADVICE POSITION: Employee NATURE: Consulting Services INVESTMENT RELATED: Y # OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2000 ADDRESS: 3020 Woodcreek Drive, Suite C1, Downers Grove IL 60515 DESCRIPTION:PROVIDING Free FINANCIAL ADVICE TO CANCER PATIENTS . (2)PACKING FOR RETIREMENT BOOK POSITION: Employee NATURE: Other: INVESTMENT RELATED: Y # OF HOURS: 5 TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 3020 Woodcreek Drive, Suite C1, Downers Grove IL 60515 DESCRIPTION: AUTHOR OF PACKING FOR RETIREMENT (3)CIRCLE F PROPERTIES POSITION: Employee NATURE: Other: INVESTMENT RELATED: Y # OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 1408 Elgin, Forest Park IL 60130 DESCRIPTION: 50% OWNER OF CIRCLE F PROPERTIES, CARPENTRY (4)INSURANCE AGENT POSITION: Employee NATURE: Insurance outside of IFG INVESTMENT RELATED: Y #OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/01/1987 ADDRESS: 3020 Woodcreek Drive, Suite C1, Downers Grove IL DESCRIPTION: IL INSURANCE AGENT (5) BENTRON FINANCIAL GROUP POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Y #OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1998 ADDRESS: 3020 Woodcreek Drive, Suite C1, Downers Grove IL 60515 DESCRIPTION: EMPLOYEE OF DBA BENTRON FINANCIAL GROUP USED FOR MARKETING PURPOSES. (6) TRITON COLLEGE EDUCATION SERVICES POSITION: Employee NATURE: Teaching/Coaching INVESTMENT RELATED: No #HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: 2000 Fifth Ave., River Grove IL 60139, United States DESCRIPTION: PROFESSOR A TRITON COLLEGE (7) CIRCLE F PROPERTIES INC POSITION: Employee NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: N # OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 1408 Elgin, Forest Park IL 60130 DESCRIPTION: 50% OWNER OF CIRCLE F PROPERTIES INC (8) TERRA NOVA FILMS POSITION: Volunteer NATURE: Board Member (Profit or Non-Profit) INVESTMENT RELATED: N #OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 3020 Woodcreek Drive, Suite C1, Downers Grove IL 60515 DESCRIPTION: TREASURER OF THE BOD FOR TERRA NOVA FILMS. (9) PROFESSOR OF GERONTOLOGY AT CONCORDIA POSITION: Employee NATURE: Teaching/Coaching INVESTMENT RELATED: N # OF HOURS: 12 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2017 ADDRESS: 7900 W Augusta, River Forest IL 60305 DESCRIPTION: ADJUNCT PROFESSOR AT CONCORDIA UNIVERSITY. (10) CIRCLE OF LIFE, INC. POSITION: Independent Contractor NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2018 ADDRESS: 3020 Woodcreek Drive, Suite C1, Downers Grove IL 60515 DESCRIPTION: CONSULTANT FOR CIRCLE OF LIFE CONSULTING, INC. (11) AFFINITY WEALTH MANAGEMENT, INC. POSITION: Employee NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 08/25/2021 ADDRESS: 755 William, River Forest IL 60305 DESCRIPTION: OUTSIDE INSURANCE. (12) ROSE LAKE ASSOCIATION POSITION: Treasurer. NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/07/2024 ADDRESS: , IL , DESCRIPTION: Prepare budget, attend meetings. Reconcile bank bookkeeping. BFG TAX SERVICE INC POSITION: Officer/Director NATURE: Tax Preparation/ INVESTMENT RELATED: No # OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2025 ADDRESS: 3020 Woodcreek Drive, Suite C1, Downers Grove IL 60515 DESCRIPTION: Oversee operations of tax service. I employ qualified tax preparers. INDEPENDENT ADVISOR RESOURCES INC POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2025 ADDRESS: 105 N Cody RD, Le Claire IA 52753 DESCRIPTION: Recruit develop and train agents to sell life insurance and fixed annuities.
CRS (Client Relationship Summary) - RIA
Click below to view James Luke Flanagan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Luke Flanagan'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
April 8, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3020 Woodcreek Drive Suite C1, Downers Grove, IL 60515Office #2: 6601 W. North Avenue Suite 2, Oak Park, IL 60302RIA
BD
CRD#: 7717
Downers Grove, IL
Current
April 7, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3020 Woodcreek Drive Suite C1, Downers Grove, IL 60515Office #2: 6601 W. North Avenue Suite 2, Oak Park, IL 60302RIA
BD
CRD#: 7717
Downers Grove, IL
Past
September 10, 2009 - April 12, 2010
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
NAPERVILLE, IL
Past
September 2, 2009 - April 12, 2010
FSC SECURITIES CORPORATION
BD
CRD#: 7461
NAPERVILLE, IL
Past
August 1, 2003 - August 26, 2009
WATERSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 10078
NAPERVILLE, IL
Past
July 21, 2003 - August 26, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
NAPERVILLE, IL
Past
June 20, 2001 - September 3, 2003
RE-DIRECT SECURITIES CORP
RIA
CRD#: 35518
NAPERVILLE, IL
Past
March 27, 2000 - July 21, 2003
RE-DIRECT SECURITIES CORP
BD
CRD#: 35518
VILLA PARK, IL
Past
April 26, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 26, 1988 - February 15, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
California(4/7/2010)
RR
Colorado(1/2/2015)
RR
Florida(4/7/2010)
RR
Illinois(4/7/2010)
IAR
Illinois(4/8/2010)
RR
Indiana(4/13/2010)
RR
Maine(6/5/2018)
RR
Maryland(3/23/2016)
RR
Michigan(6/28/2010)
RR
Missouri(7/25/2016)
RR
New Jersey(6/10/2014)
RR
New York(3/26/2014)
RR
Ohio(10/20/2014)
RR
South Dakota(9/25/2025)
RR
Texas(4/7/2010)
IAR
Texas(4/10/2015)
RR
Washington(11/15/2012)
RR
Wisconsin(1/10/2011)
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Downers Grove, IL 60515TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
