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JL
CFP · PFS
JL
CFP · PFS

John Lee

Independent Financial Group, LLC
28 Years of Experience
Pleasanton, CA
10 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

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. John 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

4305 Hacienda Dr., Ste. 360, Pleasanton, CA, 94588

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History

Regulatory History (10)
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
September 2025
Settled
Customer Dispute
October 2014
Settled
Customer Dispute
February 2013
Settled
Customer Dispute
September 2012
Settled
Customer Dispute
August 2012
Settled
Customer Dispute
March 2012
Settled
Customer Dispute
February 2012
Settled
Customer Dispute
February 2012
Settled
Customer Dispute
July 2011
Settled
Customer Dispute
January 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other 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
October 2005 - Present · 21 yrs
Independent Financial Group, LLCBroker
October 2005 - Present · 21 yrs
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
December 2000 - November 2005 · 4 yrs 11 mos
National Planning CorporationBroker
December 2000 - November 2005 · 4 yrs 11 mos
H.D. Vest Investment Securities, INC.Broker
January 1998 - December 2000 · 2 yrs 11 mos
State Registrations3 states
CANVTX
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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