Full text of INDEPENDENT FINANCIAL GROUP, LLC's X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL REPORTS** # **FORM X-17A-5** 0MB APPROVAL 0MB Number: 3235·0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-22870 **P~RT'rn.: i.; ,• ,:** :.: :·. FACING' PAGE ' . ~-. <sup>I</sup> ' . *:· ,·* Information Required Pursuant to Rules 17a-5, 17a~12/ ~nd, \_lBa-7 under the Securities Exchange Act of 1934 | ---------<br>FILING FOR THE PERIOD BEGINNING 01/01/22 | | --------'---<br>AND ENDING 12/31/22 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|-------------------------------------|-------------------------------------------|--| | MM/DD/ Y Y | | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Independent Financial Group, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Major security-based swap participant<br>l8J Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 12671 High Bluff Drive, Ste. 200 | | | | | | (No. and Street) | | | | | | San Diego<br>CA | | | 92130 | | | (State)<br>(City) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | (800) 269-1903<br>Scott Heising | | | sheising@ifgsd.com | | | (Area Code -Telephone Number)<br>(Name) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | . INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>PKF San Diego, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 2020 Camino del Rio North, Ste. 500<br>San Diego | | CA | 92108 | | | (Address)<br>(City) | | (State) | (Zip Code) | | | 09/29/03 | 27 | | | | | l" | | | I | | | FOR OFFICIAL USE ON LY<br>ofReg;straUon w;th PCAOB)Uf appHcableJ | | | (PCAOB Reg;str,t;on N,mbec, ff appHcableJ | | • Claims for exemption from the requirement that the anriual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), If applicable. Persons who are to respond to the collection of…Read the full text as markdown