Brett J. Saddler
Professional summary
Brett Jerome Saddler is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Brett has worked at 14 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 27, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brett Jerome Saddler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brett Jerome Saddler's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130September 30, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130June 28, 2024 - September 13, 2024
THE AMERIFLEX GROUP
June 27, 2024 - September 17, 2024
OSAIC WEALTH, INC.
November 17, 2017 - May 7, 2024
CROWN CAPITAL SECURITIES, L.P.
November 17, 2017 - May 7, 2024
CROWN CAPITAL SECURITIES, L.P.
January 26, 2017 - November 20, 2017
BALBOA WEALTH PARTNERS, INC.
January 24, 2017 - November 20, 2017
INTEGRITY BROKERAGE, LLC
January 24, 2017 - November 20, 2017
INTEGRITY BROKERAGE, LLC
August 10, 2015 - October 22, 2015
CENTAURUS FINANCIAL, INC.
August 10, 2015 - October 22, 2015
CENTAURUS FINANCIAL, INC.
January 22, 2014 - June 5, 2014
STOCKSHIELD, LLC
June 7, 2011 - May 27, 2014
EQUINOX SECURITIES, INC.
May 11, 2011 - May 27, 2014
EQUINOX SECURITIES, INC.
November 9, 2009 - February 28, 2011
MCNALLY FINANCIAL SERVICES CORPORATION
August 12, 2009 - February 28, 2011
MCNALLY FINANCIAL SERVICES CORPORATION
July 9, 2002 - June 8, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 8, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 8, 2002 - June 8, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 3, 2001 - August 3, 2001
STOCK USA, INC.
February 8, 2001 - May 1, 2001
NATIONAL CAPITAL SECURITIES, INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/30/2024)
(9/30/2024)
(12/9/2024)
(2/11/2025)
(12/10/2024)
(12/6/2024)
(12/6/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
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.
