BR
Brandi L. Ruffalo
INDEPENDENT FINANCIAL GROUP
Schaumburg, IL 60173
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CRD#: 4452686
BR
Professional summary
Brandi Leigh Ruffalo, who also goes by Brandi Leigh Prince, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Schaumburg, Illinois.
Brandi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Brandi has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brandi Leigh Prince
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) DTS INSURANCE SERVICES POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2015 ADDRESS: 1375 E Woodfield Road, Suite 230, Schaumburg IL 60173, United States DESCRIPTION: IL INSURANCE AGENT AT DTS INSURANCE SERVICES. (2) DTS FINANCIAL ADVISORS, LLC POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 08/01/2014 ADDRESS: 1375 E Woodfield Road, Suite 230, Schaumburg IL 60173, United States DESCRIPTION: REGISTERED REP AT DBA DTS FINANCIAL ADVISORS, LLC FOR MARKETING PURPOSES. (3) THE BUSINESS DEVELOPMENT COMPANY POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 11/01/1999 ADDRESS: 1375 E Woodfield Road, Suite 230, Schaumburg IL 60173, United States DESCRIPTION: 100% OWNER OF THE BUSINESS DEVELOPMENT COMPANY, INC. PROVIDING ADMINISTRATIVE AND BOOKKEEPING SERVICES. (4) VALUATION & FORENSIC PARNTERS, LLC POSITION: Officer/Director NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 96 SECURITIES TRADING HOURS: 70 START DATE: 01/01/2011 ADDRESS: 1375 E Woodfield Road, Suite 230, Schaumburg IL 60173, United States DESCRIPTION: 100% OWNER VALUATION & FORENSIC PARTNERS, LLC PROVIDING BUSINESS VALUATION, LITIGATION AND DIVORCE CONSULTING. (5) AMBUS APPRAISERS, LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2011 ADDRESS: 13225 W. Wilshire Dr., Goodwill AZ 85935, United States DESCRIPTION: TERRITORY SPECIFIC AMBUS APPRAISERS, LLC DBA AMERICAN BUSINESS APPRAISERS AFFILIATED WITH VALUATION AND FORENSIC PARTNERS, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Brandi Leigh Ruffalo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brandi Leigh Ruffalo'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
November 6, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1375 E Woodfield Road, Suite 230/240, Schaumburg, IL 60173RIA
BD
CRD#: 7717
Schaumburg, IL
Current
November 6, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1375 E Woodfield Road, Suite 230/240, Schaumburg, IL 60173RIA
BD
CRD#: 7717
Schaumburg, IL
Past
September 8, 2009 - November 17, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
SCHAUMBURG, IL
Past
September 8, 2009 - November 17, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SCHAUMBURG, IL
Past
June 4, 2004 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 10078
SCHAUMBURG, IL
Past
May 11, 2004 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
SCHAUMBURG, IL
Past
May 6, 2004 - June 2, 2004
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
May 28, 2002 - May 13, 2004
NSA SECURITIES CORPORATION
RIA
CRD#: 38472
SCHAUMBURG, IL
Past
November 14, 2001 - May 13, 2004
NSA SECURITIES CORPORATION
BD
CRD#: 38472
SCHAUMBURG, IL
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
Alabama(8/21/2024)
RR
California(3/14/2023)
RR
Colorado(8/15/2019)
RR
Florida(1/4/2010)
RR
Illinois(11/6/2009)
IAR
Illinois(11/6/2009)
RR
Kansas(4/1/2025)
RR
New Hampshire(11/23/2021)
RR
Pennsylvania(1/21/2022)
RR
Texas(1/4/2010)
RR
Wisconsin(1/9/2024)
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#: 7717Schaumburg, IL 60173TRUST BUT VERIFY
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