JJ
Jacqueline M. Jacobsen
INDEPENDENT FINANCIAL GROUP
Sneads Ferry, NC
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CRD#: 2504257
JJ
Professional summary
Jacqueline Maria Jacobsen, CFP®, ChFC®, CIMA®, CLU®, CPWA®, who also goes by Jacqueline Maria Bradley, Jacqueline Maria Klein, Jacqueline Klein, Jacqueline Maria Thomas, Jacqueline Thomas, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Sneads Ferry, North Carolina.
Jacqueline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jacqueline has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jacqueline Maria Bradley | Jacqueline Maria Klein | Jacqueline Klein | Jacqueline Maria Thomas | Jacqueline Thomas
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) SYCAMORE WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 01/06/2020 ADDRESS: 217 Bumps Creek Rd., Sneads Ferry NC 28460, United States DESCRIPTION: 1. 100% OWNER OF DBA SYCAMORE WEALTH MANAGEMENT SINCE 2018 FOR MARKETNG PURPOSES. TIME SPENT: 100%. INVESTMENT RELATED. BUSINESS CONDUCTED AS ADDRESS OF RECORD. (2) INVESTMENT AND WEALTH INSTITUTE POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/20/2021 ADDRESS: 4631 Tanner View Dr., Clinton WA 98236, United States DESCRIPTION: Member of the Government Relations Committee, review new potential government policies that may effect the financial services industry.
CRS (Client Relationship Summary) - RIA
Click below to view Jacqueline Maria Jacobsen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacqueline Maria Jacobsen'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: 1999
CPWA®
Start date: 2008-05-07
Expire date: 2024-10-31
Experience
Current
December 14, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sneads Ferry, NC
Current
November 27, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sneads Ferry, NC
Past
July 31, 2009 - September 21, 2018
MORGAN STANLEY
RIA
CRD#: 149777
SEATTLE, WA
Past
July 31, 2009 - September 21, 2018
MORGAN STANLEY
BD
CRD#: 149777
SEATTLE, WA
Past
September 28, 1998 - August 18, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SEATTLE, WA
Past
September 28, 1998 - August 18, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SEATTLE, WA
Past
March 14, 1995 - October 13, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 14, 1995 - October 13, 1998
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
October 19, 1994 - February 17, 1995
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, 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
Arizona(10/22/2021)
RR
California(9/27/2023)
RR
Colorado(4/11/2019)
RR
Florida(7/25/2025)
RR
Hawaii(10/22/2019)
RR
Michigan(4/1/2020)
RR
Montana(3/14/2019)
RR
New York(7/20/2021)
RR
North Carolina(5/12/2021)
IAR
North Carolina(7/23/2021)
RR
Ohio(3/4/2021)
RR
Oklahoma(12/17/2018)
RR
Oregon(3/14/2019)
RR
Tennessee(12/18/2018)
RR
Texas(1/4/2019)
IAR
Texas(2/28/2019)
RR
Washington(12/14/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
