JJ
James M. Juengling
INDEPENDENT FINANCIAL GROUP
DUNDEE, IL 60118
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CRD#: 812627
JJ
Professional summary
James Michael Juengling is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Dundee, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. James has worked at 8 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 72 and Series 1 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) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 01/23/1972 ADDRESS: 115 W Main, Suite 210, Dundee IL 60118, United States DESCRIPTION: IL INSURANCE AGENT PROVIDING VARIOUS TYPES OF INSURANCE. (2) JUENGLING & ASSOCIATES POSITION: Owner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 01/23/1972 ADDRESS: 115 W Main, Suite 210, Dundee IL 60118, United States DESCRIPTION: 100% OWNER OF DBA JUENGLING & ASSOCIATES USED FOR MARKETING PURPOSES. (3) THE NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS POSITION: Volunteer NATURE: Volunteer INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/10/1973 ADDRESS: 115 W Main, Suite 210, Dundee IL 60118, United States DESCRIPTION: MEMBER OF THE NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS.
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Juengling's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Michael Juengling'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
July 15, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 115 W Main, Suite 210, Dundee, IL 60118RIA
BD
CRD#: 7717
DUNDEE, IL
Current
July 15, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 115 W Main, Suite 210, Dundee, IL 60118RIA
BD
CRD#: 7717
DUNDEE, IL
Past
May 18, 2010 - July 19, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
WEST DUNDEE, IL
Past
September 8, 2009 - July 19, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
WEST DUNDEE, IL
Past
April 16, 2004 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
WEST DUNDEE, IL
Past
May 3, 1999 - January 26, 2004
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
June 30, 1986 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
May 28, 1982 - July 2, 1986
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
September 26, 1980 - November 17, 1982
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
Past
September 22, 1975 - November 27, 1979
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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(5/30/2013)
RR
Colorado(6/1/2011)
RR
Florida(9/10/2010)
RR
Hawaii(1/20/2015)
RR
Illinois(7/15/2010)
IAR
Illinois(7/15/2010)
RR
Indiana(7/23/2010)
RR
Missouri(1/5/2015)
RR
Nevada(6/25/2015)
RR
New York(7/15/2010)
RR
North Carolina(1/25/2024)
RR
South Carolina(4/15/2020)
RR
Texas(7/15/2010)
RR
Utah(8/12/2022)
RR
Wisconsin(7/15/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 72
Date: 7/11/2011
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 9/17/1975
Registered Representative ExaminationSRO 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#: 7717Dundee, IL 60118TRUST BUT VERIFY
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