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Catherine Leigh Brown

Independent Financial Group, LLC

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About Catherine Leigh Brown

Catherine Leigh Brown has been a financial advisor for over 30 years, serving clients in both California and Texas. Catherine Leigh Brown is currently a Registered Representative with Independent Financial Group, LLC, a firm headquartered in San Diego. Previous roles include positions with Woodbury Financial Services, Inc. and National Planning Corporation. Catherine Leigh Brown is also a Registered Investment Advisor, licensed in California and Texas. Catherine Leigh Brown's areas of expertise include financial planning, portfolio management for individuals and businesses, and pension consulting.

Firm Information

Catherine Brown is currently registered with Independent Financial Group, LLC. Independent Financial Group, LLC is a limited liability company formed in July 2001 and headquartered in San Diego, California. The firm offers financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors. They manage approximately $1 billion to $10 billion in assets for a diverse clientele, including high-net-worth individuals, corporations, charitable organizations, and pension plans. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
Independent Financial Group, LLC

12671 HIGH BLUFF DR

SAN DIEGO, CA 92130

$6.75B

Assets Under Management

270

Total Clients

524

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Catherine Brown’s Registration & Firm History

CA

08/12/2019 - Present

Independent Financial Group, LLC (PALM DESERT CA)

CA

01/26/2009 - 02/18/2009

WOODBURY FINANCIAL SERVICES, INC. (PALM DESERT CA)

CA

07/15/1999 - 01/15/2009

NATIONAL PLANNING CORPORATION (PALM DESERT CA)

AZ

08/13/1996 - 07/15/1999

SUNAMERICA SECURITIES, INC. (PHOENIX AZ)

CA

05/22/1991 - 08/14/1996

GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)

NY

01/28/1991 - 05/01/1991

LEHMAN BROTHERS INC. (NEW YORK NY)

MN

02/09/1990 - 08/20/1990

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

02/09/1990 - 08/20/1990

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

NA

01/23/1985 - 12/17/1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Licenses & Designations

IA

Issued 09/03/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/01/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/07/2003

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 09/04/1996

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Catherine Leigh Brown. Review regulatory record here.
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