BE
Bradley M. Epstein
INDEPENDENT FINANCIAL GROUP
Rockwall, TX 75087
Some features on this profile are disabled
CRD#: 4904999
BE
Professional summary
Bradley Merritt Epstein, who also goes by Brad Epstein, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Rockwall, Texas.
Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Bradley has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Epstein
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) BELAC LOUISIANA LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2019 ADDRESS: 2600 Ridge Road, Rockwall TX 75087, United States DESCRIPTION: This entity owns a condo in New Orleans, LA. Owned with wife (other 50%). (2) BELAC PROPERTIES LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2004 ADDRESS: 2600 Ridge Road, Rockwall TX 75087, United States DESCRIPTION: This entity owns the building where the branch location is located. No other tenants. Wife owns the other 50% (3) EPSTEIN & KOLACZ WEALTH MANAGEMENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2006 ADDRESS: 2600 Ridge Road, Rockwall TX 75087, United States DESCRIPTION: Life Insurance sales (4) EPSTEIN & COMPANY PC POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 06/01/2004 ADDRESS: 2600 Ridge Road, Rockwall TX 75087, United States DESCRIPTION: Practice Certified Public Accounting through Epstein ^ Company PC. Primarily provide tax and accounting services. Other 25% is owned by an outside partner (non-RR.) BRAD EPSTEIN CPA PLLC POSITION: Officer/Director NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/01/2025 ADDRESS: 2600 Ridge Road, Rockwall TX 75087, United States DESCRIPTION: This entity is the partner of EB Tax Advisors PLLC. To date, this entity has not had any activity except being the tax partner of EB Tax Advisors PLLC. Moving forward, this entity plans to provide general business consulting and coaching services. EB TAX ADVISORS PLLC POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 125 START DATE: 01/01/2024 ADDRESS: 2600 Ridge Road, Rockwall TX 75087, United States DESCRIPTION: This is the new name of a previously disclosed OBA - Epstein & Company PC. It's not a new entity. The entity provides tax preparation and consulting. We also serve as power of attorneys, but only for representing clients before the Internal Revenue Service.
CRS (Client Relationship Summary) - RIA
Click below to view Bradley Merritt Epstein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bradley Merritt Epstein'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
June 7, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2600 Ridge Road, Rockwall, TX 75087RIA
BD
CRD#: 7717
Rockwall, TX
Current
June 7, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2600 Ridge Road, Rockwall, TX 75087RIA
BD
CRD#: 7717
Rockwall, TX
Past
July 20, 2016 - June 30, 2023
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
ROCKWALL T, TX
Past
June 1, 2016 - June 10, 2016
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
ROCKWALL T, TX
Past
June 1, 2016 - June 30, 2023
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ROCKWALL, TX
Past
November 7, 2013 - May 10, 2016
CETERA ADVISORS LLC
RIA
CRD#: 10299
ROCKWALL, TX
Past
November 7, 2013 - May 10, 2016
CETERA ADVISORS LLC
BD
CRD#: 10299
ROCKWALL, TX
Past
May 25, 2012 - September 18, 2012
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
ROCKWALL, TX
Past
May 25, 2012 - September 18, 2012
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
ROCKWALL, TX
Past
February 3, 2006 - November 22, 2013
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
ROCKWALL, TX
Past
July 7, 2005 - November 22, 2013
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
ROCKWALL, TX
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(7/3/2023)
RR
Alaska(6/7/2023)
RR
Arkansas(9/9/2025)
RR
California(6/7/2023)
RR
Colorado(6/12/2023)
RR
Florida(6/7/2023)
RR
Indiana(6/7/2023)
RR
Louisiana(6/7/2023)
RR
Michigan(6/7/2023)
RR
Mississippi(11/6/2024)
RR
Missouri(7/11/2023)
RR
New Mexico(6/7/2023)
RR
New York(6/7/2023)
RR
North Carolina(12/12/2024)
RR
North Dakota(11/4/2024)
RR
Ohio(6/7/2023)
RR
Oklahoma(6/7/2023)
RR
South Carolina(9/24/2024)
RR
Texas(6/7/2023)
IAR
Texas(6/7/2023)
RR
Washington(6/7/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 7717Rockwall, TX 75087TRUST BUT VERIFY
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