BG
Brett M. Gatta
INDEPENDENT FINANCIAL GROUP
San Diego, CA
Some features on this profile are disabled
CRD#: 6051293
BG
Professional summary
Brett M Gatta, who also goes by Brett Gatta, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Brett has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brett Gatta
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) MYRIDE, LLC POSITION: Co-Owner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 07/17/2017 ADDRESS: 1 Callaghan Blvd, Malta NY 12020, United States DESCRIPTION: 50% passive owner of transportation company (2) NEW YORK AIR NATIONAL GUARD POSITION: Employee NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2006 ADDRESS: 1 Air National Guard Rd, Scotia NY 12302, United States DESCRIPTION: Load and unload aircraft (3) PRONOVA POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 26 START DATE: 09/30/2021 ADDRESS: 450 J St., Unit 6071, San Diego CA 92101, United States DESCRIPTION: DBA name used for marketing purposes. PRONOVA BG LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 26 START DATE: 09/30/2021 ADDRESS: 450 J St., Unit 6071, San Diego CA 92101, United States DESCRIPTION: DBA for financial practice under IFG.
CRS (Client Relationship Summary) - RIA
Click below to view Brett M Gatta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brett M Gatta'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
August 18, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
San Diego, CA
Current
August 17, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
San Diego, CA
Past
February 8, 2019 - August 21, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SAN DIEGO, CA
Past
February 6, 2019 - July 31, 2020
PFG ADVISORS
RIA
CRD#: 173344
Poway, CA
Past
October 17, 2016 - December 31, 2018
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
LATHAM, NY
Past
October 17, 2016 - February 26, 2019
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
LATHAM, NY
Past
January 29, 2014 - October 28, 2016
MORGAN STANLEY
RIA
CRD#: 149777
ALBANY, NY
Past
December 16, 2013 - October 28, 2016
MORGAN STANLEY
BD
CRD#: 149777
ALBANY, NY
Past
April 9, 2012 - November 16, 2012
JOHN THOMAS FINANCIAL
BD
CRD#: 40982
NEW YORK, NY
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(8/17/2020)
RR
California(8/17/2020)
IAR
California(8/18/2020)
RR
Colorado(6/13/2025)
RR
Florida(5/8/2024)
RR
Massachusetts(8/9/2021)
RR
Missouri(4/9/2025)
RR
New York(8/17/2020)
RR
North Carolina(5/22/2025)
RR
South Carolina(2/7/2024)
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.
