JE
Jay W. Eng
INDEPENDENT FINANCIAL GROUP
Torrance, CA
Some features on this profile are disabled
CRD#: 2241817
JE
Professional summary
Jay William Eng is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Torrance, California.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Jay has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 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) THE ENG FAMILY TRUST POSITION: Trustee NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 427 S. Juanita Ave., Redondo Beach CA 90277, United States DESCRIPTION: 50% passive owner of rental property (2) ENG WEALTH MANAGEMENT POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/21/2020 ADDRESS: 25500 Hawthorne Blvd, Ste. 1250, Torrance CA 90505, United States DESCRIPTION: 50% owner of DBA used for marketing purposes
CRS (Client Relationship Summary) - RIA
Click below to view Jay William Eng's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jay William Eng'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
September 17, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Torrance, CA
Current
September 17, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Torrance, CA
Past
June 16, 2006 - September 23, 2020
KINECTA FINANCIAL & INSURANCE SERVICES
BD
CRD#: 136597
WOODLAND HILLS, CA
Past
August 3, 2004 - September 21, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
TORRANCE, CA
Past
May 10, 2004 - September 21, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
TORRANCE, CA
Past
June 4, 2003 - February 27, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
January 9, 2003 - May 13, 2003
ELECTRONIC TRADING GROUP, LLC
BD
CRD#: 37453
NEW YORK, NY
Past
June 18, 2002 - September 12, 2002
PULSE TRADING, INC.
BD
CRD#: 104022
BOSTON, MA
Past
March 2, 2001 - May 30, 2002
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
February 5, 2001 - February 28, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
March 8, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
June 24, 1999 - March 3, 2000
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
February 1, 1999 - May 26, 1999
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
BD
CRD#: 2625
NEW YORK, NY
Past
May 8, 1998 - June 10, 1998
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
July 28, 1992 - November 30, 1994
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
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(12/2/2020)
RR
Arizona(10/26/2020)
RR
Arkansas(10/8/2020)
IAR
California(9/18/2020)
RR
California(9/22/2020)
RR
Connecticut(10/17/2022)
RR
Florida(9/17/2020)
RR
Georgia(11/13/2020)
RR
Idaho(12/7/2020)
RR
Illinois(1/14/2021)
RR
Kansas(6/22/2022)
RR
Nevada(9/17/2020)
RR
New York(1/24/2024)
RR
North Carolina(9/27/2022)
RR
Oklahoma(10/24/2022)
RR
Oregon(1/25/2021)
RR
Pennsylvania(4/11/2025)
RR
Texas(9/17/2020)
RR
Virginia(4/7/2022)
RR
Washington(9/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/22/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
