Steven Jones
Steven Jones is a registered investment advisor at Independent Financial Group, LLC, based in Waukesha, WI, with 36 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
Waukesha, WI
Get directionsHistory
Regulatory History (11)
Financial
December 2020Financial
November 2020Judgment / Lien
May 2017Judgment / Lien
August 2016Judgment / Lien
January 2015Judgment / Lien
June 2014Judgment / Lien
June 2014Judgment / Lien
March 2012Judgment / Lien
February 2012Employment Separation After Allegations
October 2011Judgment / Lien
April 2011Other Business ActivitiesSells Insurance
Steven works as an insurance agent offering various types of insurance products since 2013, dedicating minimal time to this activity. This activity is investment-related.
Employment History
Current Registrations
Independent Financial Group, LLC
Independent Financial Group, LLCBroker
Previous Registrations
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Metlife Securities INC.
Citistreet Financial Services LLC
Citistreet Equities LLCBroker
State Registrations3 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.