James M. Lorenzen

THE INDEPENDENT FINANCIAL GROUP

Simi Valley, CA 93065

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CRD#: 2106875

Professional summary

James Marion Lorenzen, CFP®, who also goes by James M Lorenzen, Jim Lorenzen, is a registered financial advisor currently at THE INDEPENDENT FINANCIAL GROUP located in Simi Valley, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. James has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Income Management

Estate Planning

Insurance Planning

Social Security Planning

Tax Planning

Comprehensive Financial Planni...

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

James M Lorenzen | Jim Lorenzen

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.

Mr. Lorenzen is an independent insurance agent under California license 0C00742 and is appointed with various insurance companies. Mr. Lorenzen was licensed as of 04/07/1997. Mr. Lorenzen spends less than 1 hour per month during securities trading hours and works on an as-needed basis. Mr. Lorenzen is life insurance licensed.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Marion Lorenzen'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

November 26, 2002 - Present

THE INDEPENDENT FINANCIAL GROUP

Office #1: 2655 First Street, Suite 250, Simi Valley, CA 93065

RIA

CRD#: 122910

Simi Valley, CA

Past

December 11, 2002 - March 17, 2006

QA3 FINANCIAL CORP.

CRD#: 14754

THOUSAND OAKS, CA

Past

July 8, 1997 - December 6, 2002

CETERA ADVISORS LLC

RIA

CRD#: 10299

DENVER, CO

Past

August 28, 1991 - December 6, 2002

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

November 29, 1990 - August 15, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(11/26/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/19/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/10/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/28/1990

General Securities Representative Examination

Current Firm

THE INDEPENDENT FINANCIAL GROUP

INDEPENDENT FINANCIAL STRATEGIES, INC. | THE INDEPENDENT FINANCIAL GROUP | LORENZEN, JAMES MARION

CRD#: 122910 / SEC#:

California

Registered Investment Advisory firm - (11/26/2002 Approved)

Florida

Registered Investment Advisory firm - (1/5/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2655 First Street Suite 250, Simi Valley, CA 93065

Mailing Address

Post Office Drawer 119, Moorpark, CA 93021

Phone number

(805) 265-5416

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 10,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Contact information

xxxxx@xxxx.xxx

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James M. Lorenzen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Marion Lorenzen's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE INDEPENDENT FINANCIAL GROUP

QA3 FINANCIAL CORP.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/19/2002

Series 63

Date: 12/10/1990

Series 7

Date: 11/28/1990

Current Firm

THE INDEPENDENT FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE INDEPENDENT FINANCIAL GROUP

TRUST BUT VERIFY

Contact information

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