BT
Bradford T. Tom
INDEPENDENT FINANCIAL GROUP
Honolulu, HI 96814
CRD#: 3081739
BT
Professional summary
Bradford Thomas Tom, ChFC®, CLU®, who also goes by Brad Tom, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Honolulu, Hawaii.
Bradford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Bradford has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Tom
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) BRADFORD THOMAS TOM POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 8 START DATE: 08/23/2018 ADDRESS: 2101 Nuuanu Avenue #2404, Honolulu HI 96817, United States DESCRIPTION: HI INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Bradford Thomas Tom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bradford Thomas Tom'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®
Experience
Current
August 23, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1000 Auahi Street #3205, Honolulu, HI 96814RIA
BD
CRD#: 7717
Honolulu, HI
Current
August 23, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1000 Auahi Street #3205, Honolulu, HI 96814RIA
BD
CRD#: 7717
Honolulu, HI
Past
January 23, 2012 - August 29, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
PEARL CITY, HI
Past
January 23, 2012 - August 29, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
PEARL CITY, HI
Past
February 7, 2011 - January 12, 2012
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
HONOLULU, HI
Past
February 7, 2011 - January 12, 2012
SECURITIES AMERICA, INC.
BD
CRD#: 10205
HONOLULU, HI
Past
August 16, 2004 - February 15, 2011
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
HONOLULU, HI
Past
June 9, 2003 - February 15, 2011
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
HONOLULU, HI
Past
May 1, 2002 - May 27, 2003
DFC INVESTOR SERVICES
BD
CRD#: 18558
CHINO HILLS, CA
Past
August 24, 2001 - May 1, 2002
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
May 19, 1999 - August 9, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 19, 1999 - August 9, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
September 17, 1998 - April 20, 1999
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
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(2/1/2023)
RR
Hawaii(8/23/2017)
IAR
Hawaii(8/23/2017)
RR
Ohio(12/6/2021)
RR
Washington(6/3/2019)
Exams
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Honolulu, HI 96814TRUST BUT VERIFY
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