YA
Yasser Ahmad
INDEPENDENT FINANCIAL GROUP
San Jose, CA
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CRD#: 5451336
YA
Professional summary
Yasser Ahmad, CFP®, who also goes by Yasser Ahmad, Ahmad Yasser, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Jose, California.
Yasser is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Yasser has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 22 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yasser Ahmad | Ahmad Yasser
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) AHMAD & BETANCOURT, INC. POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/05/2019 ADDRESS: 1475 N Broadway #282, Walnut Creek CA 94597, United States DESCRIPTION: 50% OWNER OF AHMAD & BETANCOURT, INC. A SHELL ENTITY USED FOR TAX AND INVESTMENT PURPOSES. (2) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 5 START DATE: 09/05/2019 ADDRESS: 1475 N Broadway #282, Walnut Creek CA 94597, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (3) LAURELWOOD CAPITAL MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 20 START DATE: 09/05/2019 ADDRESS: 1475 N Broadway #282, Walnut Creek CA 94597, United States DESCRIPTION: 50% OWNER OF DBA LAURELWOOD CAPITAL MANAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view Yasser Ahmad's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yasser Ahmad'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®
Experience
Current
September 5, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
San Jose, CA
Current
September 5, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
San Jose, CA
Past
June 1, 2017 - July 31, 2019
GROWTH CAPITAL SERVICES, INC.
BD
CRD#: 124658
CLAYMONT, DE
Past
July 27, 2011 - November 1, 2013
TD AMERITRADE, INC.
RIA
CRD#: 7870
E. PALO ALTO, CA
Past
July 27, 2011 - November 1, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
E. PALO ALTO, CA
Past
July 27, 2011 - November 1, 2013
TD AMERITRADE, INC.
BD
CRD#: 7870
E. PALO ALTO, CA
Past
July 30, 2009 - July 26, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
OAKLAND, CA
Past
July 30, 2009 - July 26, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
OAKLAND, CA
Past
March 4, 2008 - March 25, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WALNUT CREEK, CA
Past
January 8, 2008 - March 25, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WALNUT CREEK, CA
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
California(9/5/2019)
IAR
California(9/5/2019)
RR
Florida(9/5/2019)
RR
Indiana(9/5/2019)
RR
Nevada(7/28/2025)
RR
New York(9/5/2019)
RR
South Carolina(9/5/2019)
RR
Washington(9/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/30/2019
General Securities Representative ExaminationGeneral 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.
