JE
James D. Ehrenkrook
INDEPENDENT FINANCIAL GROUP
White Bear Lake, MN 55110
Some features on this profile are disabled
CRD#: 841189
JE
Professional summary
James David Ehrenkrook, AIF®, who also goes by Jim Ehrenkrook, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in White Bear Lake, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. James has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 1, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Ehrenkrook
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) HERITAGE FINANCIAL GROUP, AKA HERITAGE FINANCIAL GROUP, LLC, AKA HERITAGE WEALTH MANAGEMENT, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 01/01/1986 ADDRESS: 1551 Livingston Avenue, Suite 102, West Saint Paul MN 55118, United States DESCRIPTION: 100% OWNER OF DBA HERITAGE FINANCIAL GROUP, USED FOR MARKETING PURPOSES. (2) HERITAGE INVESTMENT PROPERTIES, LLC POSITION: 50% Member NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2021 ADDRESS: 4647 White Bear Parkway, White Bear Lake MN 55110, United States DESCRIPTION: Office condominium to be used by our operating company Heritage Financial Group, LLC. (3) BIRCHWOOD OFFICE PARK OF WHITE BEAR LAKE ASSOCIATION, INC POSITION: Board Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 4647 White Bear Parkway, White Bear Lake MN 55110, United States DESCRIPTION: Board Member.
CRS (Client Relationship Summary) - RIA
Click below to view James David Ehrenkrook's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James David Ehrenkrook'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
November 17, 2014 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4647 White Bear Parkway, White Bear Lake, MN 55110RIA
BD
CRD#: 7717
White Bear Lake, MN
Current
June 28, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4647 White Bear Parkway, White Bear Lake, MN 55110RIA
BD
CRD#: 7717
White Bear Lake, MN
Past
May 23, 2002 - July 1, 2013
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WEST ST. PAUL, MN
Past
November 16, 1998 - May 29, 2002
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
August 17, 1994 - December 23, 1999
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
September 18, 1992 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, CA
Past
November 7, 1989 - September 29, 1992
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
May 23, 1989 - November 7, 1989
VALUE EQUITIES CORPORATION
BD
CRD#: 13316
Past
August 1, 1986 - May 25, 1989
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
Past
May 24, 1982 - August 1, 1986
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
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(3/22/2017)
RR
Colorado(8/22/2013)
RR
Florida(4/28/2021)
RR
Iowa(10/23/2020)
RR
Minnesota(6/28/2013)
IAR
Minnesota(3/5/2015)
RR
Nebraska(8/7/2013)
RR
Ohio(1/5/2015)
RR
Texas(6/28/2013)
IAR
Texas(11/17/2014)
RR
Washington(5/17/2023)
RR
Wisconsin(6/28/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/28/1977
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory 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.
