77 Financial Group
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
77 Financial Group serves individual investors as well as retirement plans, trusts, estates, charitable organizations, and business entities, offering fee-based investment advisory and financial planning services alongside pension consulting. The firm also provides tax and accounting services under a related business name and makes those accounting services available to advisory clients.
The adviser generally manages portfolios on a discretionary basis using a tactical allocation approach intended to reduce risk and seek improved performance, employing fundamental, technical and cyclical analysis as appropriate. Its investment toolkit includes exchange-listed and over-the-counter securities, mutual funds and ETFs, options strategies and the use of margin/borrowing in client accounts, and the firm may recommend cash positions or targeted stock selections for hedging, income, or sector weighting purposes.
Distinctive features include a firm-published newsletter available by subscription to non-clients, an affiliation with accounting professionals (including arrangements in anticipation of a merger with another CPA firm), and a stated willingness to provide educational seminars and participant fiduciary advice under the Pension Protection Act. The brochure discloses the firm’s combined advisory and accounting activities and acknowledges the potential conflicts that dual services can create, along with its procedures for disclosure and oversight.
Client services
Expertise
Occupation focus
Fee options
Financial planning services: $2,000 to $10,000 per plan; One-time portfolio recommendation: $1,000.
Under $1 million - $1 million: 1.1% $1 million+: 0.8% (or at discretion of Advisor)
Newsletter subscription: $9.99 per month or $99.99 annually for non-clients; free for clients.
Main office
1241 Carlsbad Village Drive, Suite 100/A
Carlsbad CA 92008
Advisors at this office
3
Most active in
Arizona · California · Texas · Virginia
Also doing business as
77 Financial Group · 77 Financial Group LLC · West And Walters Tax And Wealth Management
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Jacob R
Series 65
Carlsbad, CA
77 Financial Group
Jacob Rogers is a financial advisor at 77 Financial Group with one year of industry experience. He holds a Series 65 designation and previously worked for the City of San Marcos for seven years. 77 Financial Group serves individual investors, retirement plans, trusts, estates, charitable organizations, and business entities with fee-based investment advisory and financial planning services, as well as pension consulting. The firm manages portfolios using a tactical allocation approach and offers a range of investment strategies alongside related tax and accounting services.
James W
Series 66
Carlsbad, CA
77 Financial Group
James Walters is a financial advisor at 77 Financial Group with nine years of industry experience. He holds a Series 66 designation and has previously worked at firms including LPL Financial, Securities America, Verus Capital Partners, and Lincoln Financial Advisors. Walters is also active as an insurance producer through a separate agency. 77 Financial Group serves individual investors, retirement plans, trusts, and various organizational clients with fee-based advisory and financial planning services, alongside pension consulting and related tax and accounting services. The firm employs a tactical allocation investment approach utilizing a range of securities and strategies, and offers additional resources such as a subscription newsletter and educational seminars.
Brandon W
Series 65
Carlsbad, CA
77 Financial Group
Brandon West is a financial advisor at 77 Financial Group with a Series 65 license and two years of industry experience. Prior to joining 77 Financial Group, he worked in marketing and accounting roles, including ownership and management of Top Tier Escape Rooms, an entertainment business designing and operating escape rooms. He has also served in various capacities within nonprofit and educational organizations. 77 Financial Group provides investment advisory and financial planning services to individual investors, retirement plans, trusts, estates, charitable organizations, and business entities. The firm employs a tactical allocation approach and offers integrated accounting services through a related business.
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