John Lee
John Lee is a CFP, PFS-designated registered investment advisor at Independent Financial Group, LLC, based in Pleasanton, CA, with 28 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
4305 Hacienda Dr., Ste. 360, Pleasanton, CA, 94588
Get directionsHistory
Regulatory History (10)
Customer Dispute
September 2025Customer Dispute
October 2014Customer Dispute
February 2013Customer Dispute
September 2012Customer Dispute
August 2012Customer Dispute
March 2012Customer Dispute
February 2012Customer Dispute
February 2012Customer Dispute
July 2011Customer Dispute
January 2009Other Business ActivitiesSells Insurance
John is an officer/director of Lee Ng & Associates, a DBA for marketing purposes, and spends nearly full-time on this. He is also an insurance agent offering various types of insurance products, dedicating about 10-20% of his time, and is Secretary/Treasurer of NSV Holdings Corporation, spending minimal time.
Employment History
Current Registrations
Independent Financial Group, LLC
Independent Financial Group, LLCBroker
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
H.D. Vest Investment Securities, INC.Broker
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.