TrueAdvisor
TrueAdvisor
CB
CB

Catherine Brown

Independent Financial Group, LLC
38 Years of Experience
Palm Desert, CA
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Catherine Brown is a registered investment advisor at Independent Financial Group, LLC, based in Palm Desert, CA, with 38 years of industry experience. Catherine is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 26,635 clients with $13B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
541 advisors
Number of Clients
26,635 clients
Average Client Portfolio
$485K average
Assets Under Management
$12.9B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5M+2.00%

Maximum advisor fee is shown; program fees (0.04% to 0.16%) and transaction charges may apply depending on the selected program. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

44-672 Monterey Ave, Palm Desert, CA, 92260

Get directions

History

Regulatory History (4)
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.
Regulatory
March 2012
Final
Customer Dispute
July 2009
Settled
Employment Separation After Allegations
February 2009
Customer Dispute
August 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Catherine is a board member for several organizations, including the University of Notre Dame Alumni Club, LPGA Golf Association, Palm Desert Chamber of Commerce, and Soroptimist International. Catherine is also a CA insurance agent providing various types of insurance products, and owns CB Wealth Management providing investment advisory services.

Employment History
Current Registrations
Independent Financial Group, LLC
February 2009 - Present · 17 yrs 8 mos
Independent Financial Group, LLCBroker
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
Woodbury Financial Services, INC.Broker
January 2009 - February 2009 · 1 mo
Woodbury Financial Services, INC.
January 2009 - February 2009 · 1 mo
Cb Wealth Management Group
August 2004 - April 2012 · 7 yrs 8 mos
National Planning Corporation ("npc of America" in Fl & Ny)
July 1999 - January 2009 · 9 yrs 6 mos
National Planning CorporationBroker
July 1999 - January 2009 · 9 yrs 6 mos
Sunamerica Securities, INC.Broker
August 1996 - July 1999 · 2 yrs 11 mos
Great Western Financial Securities CorporationBroker
May 1991 - August 1996 · 5 yrs 3 mos
Lehman Brothers INC.Broker
January 1991 - May 1991 · 4 mos
American Express Financial Advisors INC.Broker
February 1990 - August 1990 · 6 mos
Ids Life Insurance CompanyBroker
February 1990 - August 1990 · 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1985 - December 1986 · 1 yr 11 mos
State Registrations24 states
ALAZCACOCTFLGAIAIDILLAMOMTNCNMNVNYOHORTXUTWAWIWY
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.
More Advisors
More financial advisors in Palm Desert, CA →All financial advisors in California →