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Adrianne Michael Flores
Independent Financial Group, LLC
2 Years of Experience
2 Disclosures
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Independent Financial Group, LLC
Compensation
Commission-Based
Fee-Only (AUM)
Fixed/Hourly
Firm Size
527 advisors
Number of Clients
44,045 clients
Average Client Portfolio
$257K average
Assets Under Management
$11.3B
Fee Structure
Minimum Investment:
$2K
Financial Planning:
Investment management only
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Location
1541 the Alameda, San Jose, CA, 95126
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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
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Criminal
September 2011
Final Disposition
Criminal
April 2010
Final Disposition
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
Independent Financial Group, LLC
January 2024 - Present · 2 yrs 1 mo
Independent Financial Group, LLC
Broker
October 2023 - Present · 2 yrs 4 mos
State Registrations
1 state
CA
Advisor
Broker
Both
Exams
No exam information available for this advisor.