BZ
Brian J. Zimmerman
INDEPENDENT FINANCIAL GROUP
San Diego, CA 92130
Some features on this profile are disabled
CRD#: 2401501
BZ
Professional summary
Brian James Zimmerman is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 6 firms and has passed the Series 66, Series 63, SIE, 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) ZIMMERMAN PRIVATE WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 150 START DATE: 07/01/2013 ADDRESS: 3111 Camino Del Rio N, Suite 400, San Diego CA 92108, United States DESCRIPTION: DBA ZIMMERMAN PRIVATE WEALTH MANAGEMENT FOR MARKETING PURPOSES. (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: YES NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/17/2020 ADDRESS: 3111 Camino Del Rio N, Suite 400, San Diego CA 92108, United States DESCRIPTION: Selling various insurance products. (3) LE TIP POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 05/01/2024 ADDRESS: 1065 Camino Del Rio S, San Diego CA 92108, United States DESCRIPTION: President of the networking group. Running the weekly meetings. TORAH HIGH SCHOOL POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/28/2024 ADDRESS: 9001 Towne Centre Dr, San Diego CA 92122, United States DESCRIPTION: Board member of high school.
CRS (Client Relationship Summary) - RIA
Click below to view Brian James Zimmerman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian James Zimmerman'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
April 10, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12636 High Bluff Drive Suite 400, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Current
April 10, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12636 High Bluff Drive Suite 400, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Past
January 9, 2012 - April 11, 2012
MODERN CAPITAL ADVISORS, LLC
RIA
CRD#: 131117
RALEIGH, NC
Past
May 12, 2004 - March 28, 2012
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
BD
CRD#: 130390
SAN DIEGO, CA
Past
December 15, 2001 - April 26, 2004
ANDREW GARRETT INC.
BD
CRD#: 29931
NEW YORK, NY
Past
November 22, 1994 - December 15, 2001
ANDREW GARRETT, INC.
BD
CRD#: 36250
NEW YORK, NY
Past
June 24, 1994 - November 28, 1994
SHAMROCK PARTNERS, LTD
BD
CRD#: 23955
MEDIA, PA
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
Arizona(6/23/2021)
RR
Arkansas(9/2/2021)
RR
California(4/10/2012)
IAR
California(4/10/2012)
RR
Florida(9/17/2012)
RR
Georgia(1/22/2025)
RR
Idaho(4/10/2012)
RR
Massachusetts(4/10/2012)
RR
Michigan(2/28/2014)
RR
Nevada(12/8/2016)
RR
New Jersey(4/10/2012)
RR
New York(4/10/2012)
RR
Vermont(5/23/2018)
RR
Wyoming(11/14/2025)
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.
