BW
Brett S. Williams
INDEPENDENT FINANCIAL GROUP
Skippack, PA 19474
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CRD#: 4563885
BW
Professional summary
Brett Stephen Williams is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Skippack, Pennsylvania.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Brett has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) WILLIAMS-HAYES PARTNERS LLC WITH PROPERTIES, STARTED 2005, 2HRS MONTHLY, 100% OWNERSHIP. (2) UPPER FREEHOLD REGIONAL MENS SOFTBALL LEAGUE, INC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2024. ADDRESS: 9 Sleepy Hollow Ct, Allentown NJ 08501, United States. DESCRIPTION: Run Men's League. Financial Decisions for the Business. (3) UFRSD BOARD OF EDUCATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 26 High St, Allentown NJ 08501, United States DESCRIPTION: Part of a four-person finance committee working with the BA to recommend decision to a 9-person bord of education. (4) WILLIAMS BROTHERS PROPERTIES, LLC POSITION: Managing Partner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2007 ADDRESS: 9 Sleepy Hollow CT, Allentown NJ 08501, United States DESCRIPTION: Basic property management, Rental Income, Expenses (5) WILLIAMS HAYES PARTNERS, LLC POSITION: Managing Partner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2007 ADDRESS: 9 Sleepy Hollow CT, Allentown NJ 08501, United States DESCRIPTION: Basic Property Management, Rental Income, Expenses (6) WILLIAMS PRIVATE WEALTH MANAGEMENT POSITION: President / Managing Partner NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 75 SECURITIES TRADING HOURS: 75 START DATE: 02/01/2024 ADDRESS: 237 W Lincoln Hwy, Exton PA 19341, United States DESCRIPTION: Manage clients financial plans (7) LEO MORTGAGE, INC POSITION: Agent/Representative NATURE: Mortgage Lending Services INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2024 ADDRESS: 921 A Bethlehem Pike, Suite 208, Ambler PA 19002, United States DESCRIPTION: Mortgage Lending. (8) CONCENTRATED INVESTMENTS, LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 20 START DATE: 06/20/2024 ADDRESS: 237 W Lincoln Hwy, Exton PA 19341, United States DESCRIPTION: Financial Planning UPS POSITION: Employee NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 11/25/2024 ADDRESS: 100 Middlesex Center Blvd, Monroe Township NJ 08831, United States DESCRIPTION: Delivery UPS DRC FINANCIAL SERVICES, LLC POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 40 START DATE: 04/01/2025 ADDRESS: 4006 Skippack Pike, Skippack PA 19474, United States DESCRIPTION: Utilize DRC Financial for email communication, letters and qtrly statements to clients, letterhead, and future client events.
CRS (Client Relationship Summary) - RIA
Click below to view Brett Stephen Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brett Stephen Williams'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
February 22, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4006 Skippack Pike, Skippack, PA 19474RIA
BD
CRD#: 7717
Skippack, PA
Current
February 22, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4006 Skippack Pike, Skippack, PA 19474RIA
BD
CRD#: 7717
Skippack, PA
Past
December 9, 2019 - November 6, 2023
SEALY INVESTMENT SECURITIES, LLC
BD
CRD#: 300691
DALLAS, TX
Past
March 5, 2019 - December 2, 2019
PTX SECURITIES, LLC
BD
CRD#: 7735
PLANO, TX
Past
June 1, 2015 - December 17, 2018
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
Past
September 13, 2012 - June 2, 2015
HINES PRIVATE WEALTH SOLUTIONS LLC
BD
CRD#: 128145
HOUSTON, TX
Past
February 5, 2009 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
August 19, 2002 - February 2, 2009
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
ALLENTOWN, NJ
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(2/5/2025)
RR
Connecticut(2/5/2025)
RR
Delaware(2/5/2025)
RR
Florida(2/5/2025)
RR
Idaho(2/5/2025)
RR
Illinois(2/5/2025)
RR
New Jersey(2/22/2024)
RR
New York(2/5/2025)
RR
North Carolina(2/10/2025)
RR
Pennsylvania(2/22/2024)
IAR
Pennsylvania(2/22/2024)
RR
Texas(5/28/2024)
IAR
Texas(8/28/2024)
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.
