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JN
CFP
JN
CFP

James Noto

Independent Financial Group, LLC
43 Years of Experience
Trinity, FL
8 DisclosuresBrokerSells Insurance
View SEC Summary
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James Noto is a CFP-designated registered investment advisor at Independent Financial Group, LLC, based in Trinity, FL, with 43 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
538 advisors
Number of Clients
44,045 clients
Average Client Portfolio
$257K average
Assets Under Management
$11.3B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)

IFG offers investment management through various programs, including AccessPoint, Custom Asset Management, and Third Party Asset Managers. Fees are based on a percentage of the value of your account and are negotiable. Transaction charges may also apply. The maximum advisory fee is 3.00% per year. IFG and its IARs may receive additional compensation from product sponsors, which creates a conflict of interest.

View Full SEC Brochure

Location

2154 Seven Springs Blvd., Trinity, FL, 34655

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History

Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2016
Settled
Customer Dispute
October 2015
Settled
Regulatory
August 2013
Final
Customer Dispute
December 2010
Denied
Customer Dispute
December 2008
Denied
Customer Dispute
January 2006
Settled
Customer Dispute
March 2003
Denied
Customer Dispute
April 1997
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is the 100% owner of Wealthbuilders Financial Group Inc. for marketing purposes, owns commercial real estate rental property, and is the treasurer for Bradford Park Association HOA. James is also an insurance agent offering various types of insurance, with each activity taking about a quarter of his time.

Employment History
Current Registrations
Independent Financial Group, LLC
October 2018 - Present · 7 yrs 7 mos
Independent Financial Group, LLCBroker
October 2018 - Present · 7 yrs 7 mos
Previous Registrations
Summit Financial Group INC
April 2005 - October 2018 · 13 yrs 6 mos
Summit Brokerage Services, INC.Broker
March 2005 - October 2018 · 13 yrs 7 mos
Raymond James Financial Services
October 1998 - February 2005 · 6 yrs 4 mos
Raymond James Financial Services, INC.Broker
October 1998 - February 2005 · 6 yrs 4 mos
Vanguard CapitalBroker
January 1998 - September 1998 · 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1993 - January 1998 · 4 yrs 10 mos
Cigna Securities, INC.Broker
September 1982 - April 1993 · 10 yrs 7 mos
State Registrations25 states
ALARCOCTFLGAILINMDMIMTNCNDNJNYOHOKPASCSDTXUTVTWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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