Patricia Thom
Patricia Thom is a registered investment advisor at Independent Financial Group, LLC, based in San Luis Obispo, CA, with 42 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
1880 Santa Barbara Avenue, Suite 220, San Luis Obispo, CA, 93401
Get directionsHistory
Regulatory History (13)
Customer Dispute
December 2014Customer Dispute
February 2012Customer Dispute
October 2005Customer Dispute
February 2003Customer Dispute
September 2002Customer Dispute
May 2002Customer Dispute
August 2001Customer Dispute
July 2001Customer Dispute
May 2001Customer Dispute
January 2001Customer Dispute
January 2001Employment Separation After Allegations
December 2000Customer Dispute
January 2000Other Business Activities
Patricia is an officer/director of The Thom Group, a DBA used for marketing purposes since 2001. This activity is investment-related and takes about a quarter of Patricia's time.
Employment History
Current Registrations
Independent Financial Group, LLCBroker
Independent Financial Group, LLC
Previous Registrations
First Allied Advisory Services, INC.
First Allied Securities, INC.
First Allied Securities, INC.Broker
The Thom Group
Round Hill Securities, INC.Broker
Sutro & CO. IncorporatedBroker
Everen Securities, INC.Broker
Bateman Eichler, Hill Richards, IncorporatedBroker
State Registrations14 states
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.