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Shao-Tsung Tseng

Independent Financial Group, LLC
16 Years of Experience
Sunnyvale, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Shao-Tsung Tseng is a ChFC-designated registered investment advisor at Independent Financial Group, LLC, based in Sunnyvale, CA, with 16 years of industry experience. Shao-Tsung 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
538 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

Sunnyvale, CA

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History

Regulatory History (2)
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
Employment Separation After Allegations
October 2015
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Shao-Tsung is a California insurance agent offering various insurance products since 2016. This investment-related activity takes about a quarter of his time.

Employment History
Current Registrations
Independent Financial Group, LLCBroker
October 2015 - Present · 11 yrs
Independent Financial Group, LLC
October 2015 - Present · 11 yrs
Previous Registrations
Voya Financial Advisors, INC.
March 2015 - September 2015 · 6 mos
Voya Financial Advisors, INC.Broker
March 2015 - September 2015 · 6 mos
Park Avenue Securities LLC
January 2015 - February 2015 · 1 mo
Park Avenue Securities LLCBroker
May 2010 - February 2015 · 4 yrs 9 mos
World Group Securities, INC.Broker
September 2009 - March 2010 · 6 mos
State Registrations4 states
CANYTXWA
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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