Gurvinder K. Aujla

INDEPENDENT FINANCIAL GROUP

San Jose, CA 95126

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CRD#: 4725124

Professional summary

Gurvinder Kaur Aujla, who also goes by 'gurvinder K Aujla, Gina K Aujla, Gurvinder K Aujla, Gurvinder Kaur, Gurvinder Aujla, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Jose, California.

Gurvinder is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Gurvinder has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

'gurvinder K Aujla | Gina K Aujla | Gurvinder K Aujla | Gurvinder Kaur | Gurvinder Aujla

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) Financial Fitness Center Inc~'NIR'~295 27th St~Oakland~CA~94612~Accounting Services/Tax Preparation~Other~11/13/2019~80hrs~60hrs~Assist with taxes and bookkeeping. Client meetings and regular phone calls. 2) Avantax affiliated insurance agency~'IR'~3200 Olympus Blvd., Suite 100~Dallas~TX~75019~Equity Indexed Annuity~Agent~11/13/2019~20hrs~5hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL). 3) LOAN OFFICER/ REAL ESTATE AGENT; POSITION: Loan officer/ real estate agent NATURE: I help clients with real estate transactions. I also do mortgage loans. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2022; ADDRESS: 37600 Central Ct #264, Newark CA 94560, United States; DESCRIPTION: I educate clients regarding various mortgage loan products and help them with their home loan. I'm real estate sales person, my license is active and help clients with real estate sale transactions. My duty is to keep my licenses active. 4) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES; POSITION: Financial Advisor NATURE: Insurance Agent INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/01/2021; ADDRESS: 295 27th Street, Oakland CA 94612, United States; DESCRIPTION: Working with clients in regards to life insurance and annuities needs. 5) BOOKKEEPING AND SMALL BUSINESS SERVICES; FAIRWAY FINANCIAL CONSULTING POSITION: Financial Consultant NATURE: Assist clients bookkeeping and other small business services consultation. Tax preparation services. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 06/01/2022 ADDRESS: 2525 Trailside Way, Union City CA 94587, United States DESCRIPTION: Assist clients bookkeeping and other small business services consultation. 6) FAIRWAY FINANCIAL & INSURANCE AGENCY POSITION: Owner/broker/agent NATURE: I intent to sell health and property. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/31/2024 ADDRESS: 2525 TRAILSIDE WAY, Union City CA 94587, United States DESCRIPTION: Sell insurance polices as a broker. (7) ALLIANCE BAY REALTY POSITION: Independent Contractor NATURE: Mortgage Lending Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 37600 Central Ct, Ste 264, Newark CA 94560, United States DESCRIPTION: I do not have any duties (8) FAIRWAY FINANCIAL CONSULTING POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 2525 Trailside Way, San Jose CA 95126, United States DESCRIPTION: Remain complaint with the LLC state rules and file taxes. KOEHLER CPA POSITION: Independent Contractor NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 09/16/2024 ADDRESS: 1541 The Alameda, San Jose CA 95126, United States DESCRIPTION: Tax preparation and Planning ALAMEDA FINANCIAL GROUP POSITION: Split rep code with David Koehler NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/16/2024 ADDRESS: 1541 The Alameda, San Jose CA 95126, United States DESCRIPTION: All the same duties as IFG rep, using this name for marketing. We are a team.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gurvinder Kaur Aujla's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gurvinder Kaur Aujla's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 16361

ROSEVILLE, CA

Past

September 20, 2004 - May 19, 2005

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, 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

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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.

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

California
(9/16/2024)

IAR

California
(9/17/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/13/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/28/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Gurvinder K. Aujla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gurvinder Kaur Aujla's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Gurvinder Kaur Aujla's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2006

Series 63

Date: 9/28/2004

SIE

Date: 10/1/2018

Series 7

Date: 9/17/2004

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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