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Joyce Thomas

Independent Financial Group, LLC
30 Years of Experience
San Gabriel, CA
6 DisclosuresBroker
View SEC Summary
View SEC Summary

Joyce Thomas is a registered investment advisor at Independent Financial Group, LLC, based in San Gabriel, CA, with 30 years of industry experience. Joyce 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

142 N San Gabriel Blvd, #B, San Gabriel, CA, 91775

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History

Regulatory History (6)
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.
Customer Dispute
January 2024
Settled
Customer Dispute
January 2023
Settled
Customer Dispute
July 2021
Settled
Customer Dispute
June 2021
Settled
Employment Separation After Allegations
October 2015
Customer Dispute
May 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joyce is the 100% owner of JTW Financial Services, Inc., a DBA used for marketing purposes, dedicating a few hours per week. She also owns a rental property in Riverside, spending minimal time on it.

Employment History
Current Registrations
Independent Financial Group, LLC
October 2015 - Present · 11 yrs
Independent Financial Group, LLCBroker
October 2015 - Present · 11 yrs
Previous Registrations
Voya Financial Advisors, INC.
November 2011 - October 2015 · 3 yrs 11 mos
Voya Financial Advisors, INC.Broker
March 2007 - October 2015 · 8 yrs 7 mos
Legacy Financial Services, INC.Broker
December 2001 - March 2007 · 5 yrs 3 mos
Wma Securities, INC.Broker
August 1996 - December 2001 · 5 yrs 4 mos
State Registrations30 states
AZCACTDCDEFLGAILKYLAMAMDMIMNMONCNJNMNVNYOHPASCTNTXUTVAVTWAWI
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.
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