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Thomas Frannicola

Independent Financial Group, LLC

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About Thomas Frannicola

Thomas Frannicola is an Investment Advisor Representative (IAR) and Registered Representative (RR) with Independent Financial Group, LLC. Thomas has been active in the financial services industry since 1996 and has held licenses in multiple states. Thomas holds Series 6, 7, 24, 26, 63 and 65 licenses and is registered in eight states. Thomas is also a registered Investment Advisor Representative (IAR) with the firm and is actively involved in providing financial planning, pension consulting, and portfolio management services.

Firm Information

Thomas Frannicola 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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Thomas Frannicola’s Registration & Firm History

NJ

05/10/2011 - Present

Independent Financial Group, LLC (BLACKWOOD NJ)

CO

03/01/2011 - 05/10/2011

HARRISON DOUGLAS, INC. (AURORA CO)

NJ

05/24/2006 - 02/24/2011

ALTERNATIVE WEALTH STRATEGIES, INC. (CHERRY HILL NJ)

IA

10/30/2003 - 06/24/2005

CAMBRIDGE INVESTMENT RESEARCH, INC. (FAIRFIELD IA)

CA

01/02/2003 - 11/18/2003

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

NY

01/10/2001 - 12/11/2002

AXA ADVISORS, LLC (NEW YORK NY)

NJ

11/24/1995 - 12/22/2000

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

IA

Issued 07/15/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/12/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/22/2000

Series 24 - General Securities Principal Examination

BC

Issued 05/04/1998

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/23/1998

Series 7 - General Securities Representative Examination

BC

Issued 11/22/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Frannicola.
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