Catherine Brown
Catherine Brown is a registered investment advisor at Independent Financial Group, LLC, based in Palm Desert, CA, with 37 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
44-672 Monterey Ave, Palm Desert, CA, 92260
Get directionsHistory
Regulatory History (4)
Regulatory
March 2012Customer Dispute
July 2009Employment Separation After Allegations
February 2009Customer Dispute
August 2008Other 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
Independent Financial Group, LLCBroker
Previous Registrations
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.
Cb Wealth Management Group
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Sunamerica Securities, INC.Broker
Great Western Financial Securities CorporationBroker
Lehman Brothers INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations21 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.