Diane Rook-Johnson
Diane Rook-Johnson is a registered investment advisor at Independent Financial Group, LLC, based in Pequot Lakes, MN, with 29 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
Pequot Lakes, MN
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Diane jointly owns rental properties with her spouse, owns Financial Group of Central Minnesota for marketing purposes, and is a part owner of a farming/beekeeping service. She also works as a notary, dedicating minimal time to each of these activities.
Employment History
Current Registrations
Independent Financial Group, LLCBroker
Independent Financial Group, LLC
Previous Registrations
Cetera Advisors LLC
Cetera Advisors LLCBroker
Pacific West Securities, INC.Broker
Sentra Securities CorporationBroker
State Registrations6 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.