James Audy Braziel
CFP®Professional Summary
James Audy Braziel, CFP®, who also goes by Jim Audy Braziel, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Roseville, California and BRAZIEL & ASSOCIATES, LLC located in Roseville, California. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Audy Braziel
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
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.
Contact Information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130Phone Number
(858) 436-3180Established
Delaware since 07/09/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
624SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
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 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory Assets Under Management
Total Number of Accounts
54,951AUM (Assets Under Management)
$12,925,435,801Disclosures
Regulatory Event
16Arbitration
2Bond
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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.
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Primary Firm SEC Registration
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.
State Registrations and Notice Filings
(7/15/2022)
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(5/15/2023)
(9/1/2026)
(7/15/2022)
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(7/15/2022)
(7/15/2022)
(7/15/2022)
(7/15/2022)
(7/15/2022)
(7/15/2022)
(2/3/2023)
(7/15/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Audy Braziel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Audy Braziel's CRS (Customer Relationship Summary).
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