AF
Amy R. Frank Goldman
INDEPENDENT FINANCIAL GROUP
Hoboken, NJ
Some features on this profile are disabled
CRD#: 2815021
AF
Professional summary
Amy Rebecca Frank Goldman, who also goes by Amy Rebecca Frank, Amy Rebecca Frank-goldman, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Hoboken, New Jersey.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Amy has worked at 17 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Rebecca Frank | Amy Rebecca Frank-Goldman
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) AFG WEALTH MANAGEMENT POSITION: PRESIIDENT NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 250 SECURITIES TRADING HOURS: 250 START DATE: 09/17/2018 ADDRESS: 50 Harrison Street, Suite 114, Hoboken NJ 07030, United States DESCRIPTION: DBA NAME FOR MARKETING PURPOSES. (2) AFG WEALTH MANAGEMENT - PUBLIC SPEAKING POSITION: President and Founder NATURE: Public Speaking INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/17/2018 ADDRESS: 50 HARRISON ST STE 114, HOBOKEN NJ 07030, United States DESCRIPTION: PUBLIC SPEAKING. (3) OUTSIDE INSURANCE POSITION: President and Founder NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/17/2018 ADDRESS: 50 Harrison Street, Suite 114, Hoboken NJ 07030, United States DESCRIPTION: OUTSIDE INSURANCE (4) CAVALIER ASSOCIATES POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/12/2019 ADDRESS: 50 Harrison St., Ste. 114, Hoboken NJ 07030, United States DESCRIPTION: PROVIDE LTC AND DI FOR CLIENTS. (5) RENTAL PROPERTY POSITION: PROPERTY OWNER, MANAGER. NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/15/2020 ADDRESS: 609 MAIN ST., AVON BY THE SEA NJ 07717, United States DESCRIPTION: PROPERTY MANAGER. (6) HUG HOBOKEN POSITION: Owner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/09/2020 ADDRESS: 1400 Hudson Street, Apt 504, Apt 504, Hoboken NJ 07030, United States DESCRIPTION: Non profit organization supporting local initiatives for the food pantry, the homeless shelter, the front line workers seniors and other groups in need. (7) ASH BROKERAGE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/17/2022 ADDRESS: 1400 Hudson Street, Apt 504, Hoboken NJ 07030, United States DESCRIPTION: Insurance sales. (8) PRIME REAL ESTATE GROUP POSITION: Agent/Representative NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 50 Harrison Street, Suite 114, Hoboken NJ 07030, United States DESCRIPTION: I hold a NJ state real estate license for personal transactions. I do not use it for income. DBS BROKERAGE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2025 ADDRESS: 1400 Hudson Street, Apt 504, Hoboken NJ 07030, United States DESCRIPTION: I work with DBS to provide my clients with insurance
CRS (Client Relationship Summary) - RIA
Click below to view Amy Rebecca Frank Goldman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Rebecca Frank Goldman'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 22, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Hoboken, NJ
Current
September 16, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Hoboken, NJ
Past
September 21, 2017 - September 23, 2022
KALOS MANAGEMENT
RIA
CRD#: 133025
Hoboken, NJ
Past
September 6, 2017 - September 23, 2022
KALOS CAPITAL, INC.
BD
CRD#: 44337
Hoboken, NJ
Past
February 13, 2015 - April 4, 2017
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
July 14, 2011 - July 3, 2013
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
May 5, 2011 - July 7, 2011
BIC DISTRIBUTORS, LLC
BD
CRD#: 152860
PHOENIX, AZ
Past
August 28, 2007 - June 10, 2009
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
July 28, 2005 - August 27, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
BOSTON, MA
Past
July 27, 2005 - August 27, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
June 21, 2004 - July 20, 2005
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
SECAUCUS, NJ
Past
June 21, 2004 - July 20, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
March 3, 2004 - March 31, 2004
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
November 21, 2003 - March 3, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
November 21, 2003 - March 3, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
June 12, 2002 - February 18, 2003
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
MORRISTOWN, NJ
Past
February 28, 2001 - February 18, 2003
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
April 29, 1998 - May 20, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 5, 1997 - November 24, 1997
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
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
Florida(9/16/2022)
RR
Massachusetts(9/16/2022)
RR
New Jersey(9/16/2022)
IAR
New Jersey(9/22/2022)
RR
New York(9/16/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
