SB
Steven R. Brown
INDEPENDENT FINANCIAL GROUP
Commack, NY 11725
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CRD#: 2232418
SB
Professional summary
Steven Robert Brown is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Commack, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 13 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 10, Series 9 and Series 26 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) NETWORK INVESTMENT ADVISORS POSITION: Employee NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2019 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: Registered admin at SEC registered investment advisor (2) NETWORK CAPITAL SERVICES INC. POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2019 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: Registered Assistant (3) NOTARY PUBLIC POSITION: Employee NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/09/2019 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: I am a notary public in the state of New York. Occasionally clients come into the office to have documents notarized.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Robert Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Robert 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 14, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 353 Veterans Hwy Ste. 210, Commack, NY 11725RIA
BD
CRD#: 7717
Commack, NY
Current
January 2, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 353 Veterans Hwy Ste. 210, Commack, NY 11725RIA
BD
CRD#: 7717
Commack, NY
Past
April 28, 2018 - July 19, 2019
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
BD
CRD#: 170845
EAST MEADOW, NY
Past
January 18, 2018 - July 22, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
MIDDLE VILLAGE, NY
Past
January 16, 2018 - July 22, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
MIDDLE VILLAGE, NY
Past
January 6, 2016 - January 26, 2018
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
MCLEAN, VA
Past
December 21, 2015 - January 26, 2018
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
HUNTINGTON, NY
Past
November 25, 2014 - April 20, 2015
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
SYOSSET, NY
Past
January 30, 2012 - September 23, 2014
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
SYOSSET, NY
Past
January 30, 2012 - September 23, 2014
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
SYOSSET, NY
Past
November 9, 2010 - January 19, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
FOREST HILLS, NY
Past
October 13, 2010 - January 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
FOREST HILLS, NY
Past
July 27, 2010 - October 12, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
ASTORIA, NY
Past
April 5, 2010 - October 12, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
ASTORIA, NY
Past
May 27, 2008 - April 1, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
WEST HEAMPSTEAD, NY
Past
February 6, 2008 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
WEST HEAMPSTEAD, NY
Past
June 7, 2006 - February 1, 2008
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
COMMACK, NY
Past
August 18, 2005 - February 1, 2008
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
COMMACK, NY
Past
March 31, 1999 - August 2, 2005
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BROOKLYN, NY
Past
August 21, 1996 - August 2, 2005
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
February 1, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
September 15, 1992 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
June 17, 1992 - July 17, 1992
J. GREGORY & COMPANY, INC.
BD
CRD#: 14892
Past
April 23, 1992 - June 29, 1992
ROYCE INVESTMENT GROUP, INC.
BD
CRD#: 10494
WOODBURY, NY
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
New York(1/2/2020)
IAR
New York(2/14/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Commack, NY 11725TRUST BUT VERIFY
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