Diane
Rook-Johnson

Independent Financial Group, LLC

CRD#2709979
Investment Advisor
in San Diego, CA
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About this Advisor

Diane Rook-Johnson is a certified financial planner located in San Diego, California. Currently an investment advisor at Independent Financial Group, LLC, they have gathered a notable 35 years of practice in the financial advisory industry. Rook-Johnson maintains a Series 63 license, which qualifies the advisor as a securities agent. Rook-Johnson can serve customers in Minnesota. Throughout their career, Rook-Johnson has worked at Western Fraternal Life, Financial Group Of Minnesota, Pacific West Securities, Inc, Multi-Financial Securities Corporation, Cetera Advisors LLC and Independent Financial Group LLC. Independent Financial Group, LLC is based out of San Diego, California, and operates out of 364 brick-and-mortar locations across the country. In total, Independent Financial Group, LLC oversees $3 billion in assets dispersed across 11,983 client accounts and retains more than 680 people. The level of assets currently under the firm's management makes it one of the biggest investment advisory firms in the United States. The firm manages 10,271 accounts on a discretionary basis, meaning the advisor makes all of the buying and selling decisions on the client's behalf. Currently 5% of the advisor firm's investors are high-net-worth individuals, meaning they have more than $1 million in capital. Independent Financial Group, LLC offers financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services and selection of other advisers. The firm may charge clients asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Certified Financial Planner

Years of Experience

35 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

No

Office Location

12671 High Bluff Dr Ste 200
San Diego, CA 92130

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Independent Financial Group, LLC Brokerage Details

Total Assets Under Management

$2,935,234,184

CA Average: $7,578,581,321
Total Number of Employees

673

CA Average: 43
Total Number of Accounts

15,620

CA Average: 3,727
Average Account Size

$187,915

CA Average: $2,033,427

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers

Diane Rook-Johnson Work History

Diane has 35 years of experience.

2014 - Present (5 years)

Independent Financial Group LLC

1983 - Present (36 years)

Western Fraternal Life

2013 - 2014 (1 year)

Cetera Advisors LLC

2012 - 2012 (< 1 year)

Multi-Financial Securities Corporation

2003 - 2012 (9 years)

Pacific West Securities, Inc

1996 - 2012 (16 years)

Financial Group Of Minnesota

Disclosures

Diane Rook-Johnson has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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