Our Staff has compiled our research into a database of FINRA Broker Disclosures for Independent Financial Group, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Michael John Wood | 843124 | 4 | 07/31/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Wayne Burkett | 2747448 | 2 | 03/30/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Harold Sweet | 4090608 | 3 | 12/28/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joyce An Thomas | 2713664 | 5 | 10/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Julie Shen | 5509300 | 1 | 10/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shao-Tsung Tseng | 5704440 | 1 | 10/01/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Tuan Kien Loy | 3029654 | 5 | 09/29/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edwin Courtney McClure | 2392527 | 1 | 07/01/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Richard Yee | 2492578 | 3 | 05/26/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lars Lael Ragan | 4186673 | 2 | 02/12/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |