James A. Braziel
INDEPENDENT FINANCIAL GROUP
Roseville, CA 95678
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CRD#: 2321699
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 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Audy Braziel
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) OUTSIDE INSURANCE POSITION: Owner - Sole Proprietor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/27/1991 ADDRESS: 300 Harding Avenue, Suite #102, Roseville CA 95678, United States DESCRIPTION: OUTSIDE INSURANCE. (2) JAMES AUDY BRAZIEL POSITION: Sole Proprietor NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/03/1990 ADDRESS: 2630 Woodgate Way, Roseville CA 95747, United States DESCRIPTION: Real Estate brokerage (3) Independent Financial Group, LLC: Registered Representative and Investment Adviser Representative; securities and investment advice; INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 during trading day; START DATE: 07/2022 (4) NPB FINANCIAL GROUP LLC POSITION: Member NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/26/2017 ADDRESS: 300 Harding Blvd, Suite #102, Roseville CA 95678, United States DESCRIPTION: BROKER DEALER BOUGHT BY IFG. NPB FINANCIAL GROUP LLC POSITION: Member NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/26/2017 ADDRESS: 300 Harding Blvd, Suite #102, Roseville CA 95678, United States DESCRIPTION: Vote on required matters.
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).
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®
Start date: 1996
Experience
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 300 Harding Blvd Suite #102, Roseville, CA 95678Office #2: 1074 East Avenue Suite L, Chico, CA 95926RIA
BD
CRD#: 7717
Roseville, CA
Current
December 2, 2022 - Present
BRAZIEL & ASSOCIATES, LLC
Office #1: 300 Harding Boulevard Suite 102, Roseville, CA 95678RIA
CRD#: 300233
Roseville, CA
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 300 Harding Blvd Suite #102, Roseville, CA 95678Office #2: 1074 East Avenue Suite L, Chico, CA 95926RIA
BD
CRD#: 7717
Roseville, CA
Past
March 7, 2019 - October 5, 2022
BRAZIEL & ASSOCIATES, LLC
RIA
CRD#: 300233
ROSEVILLE, CA
Past
June 17, 2009 - April 18, 2019
BRAZIEL & ASSOCIATES, LLC
RIA
CRD#: 112059
ROSEVILLE, CA
Past
April 24, 2006 - July 15, 2022
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
CHICO, CA
Past
April 24, 2006 - July 15, 2022
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
CHICO, CA
Past
June 19, 2003 - December 27, 2007
BRAZIEL & ASSOCIATES, LLC
RIA
CRD#: 112059
CHICO, CA
Past
January 3, 2002 - November 22, 2010
THE PLANNERS NETWORK, INC.
RIA
CRD#: 108355
CHICO, CA
Past
August 13, 1999 - April 24, 2006
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
November 24, 1998 - August 25, 1999
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
March 5, 1993 - November 20, 1998
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
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(7/15/2022)
RR
Arizona(7/15/2022)
RR
California(7/15/2022)
IAR
California(7/15/2022)
RR
Florida(5/15/2023)
RR
Maryland(7/15/2022)
RR
Nevada(7/15/2022)
RR
New York(7/15/2022)
RR
North Carolina(7/15/2022)
RR
Oklahoma(7/15/2022)
RR
Oregon(7/15/2022)
RR
Tennessee(7/15/2022)
RR
Texas(7/15/2022)
IAR
Texas(2/3/2023)
RR
Virginia(10/8/2024)
RR
Washington(7/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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)
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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#: 7717Roseville, CA 95678TRUST BUT VERIFY
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