Full text of INDEPENDENT FINANCIAL GROUP, LLC's X-17A-5 filed 2023-03-30 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235·0123 Expires: August 31, 2020 Estimated average burden hours per resoonse ... ... 12.00 | SEC FILE NUMBER | |-----------------| | 8-22870 | #### **FACING PAGE** Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/2019 | | | -----------<br>AND ENDING 12/31/2019 | | |---------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------|-------------------|--------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: lndepend~nt Financial Group, LLC | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | 12671 HighBluff.Dr.ive., Ste.-200 :'.<br>·<br>_. | | | | | | · ' \ 1!! ~.\:° •;J ·\ .'t ::!:~;: ;:F. n ,_: ·.<br>,.;<br>:~ ,, ,.,San::Diego -:<br>,, ·. · · • | (No. and Street)<br>CA | | 92130 | | | ·<br>-.(~~tft~<br>,·~·-·';:<br>/<br>·<br>~: .-;~~:I<br>~. :~<br>~- .,:.<br>~ '.~<br>~ | (State) | | (Zip Code) | | | ·· -, · , ,. ~ .<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Scott Heising 858-436-3180 | | | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | PKF, LLP | | | | | | | (Name - ifi11divid11al, srare /asr. firsr, middle name) | | | | | 2020 Camino Del Rio South, Ste. 200 | San Diego | CA | 92108 | | | (Address)<br>(City) | | (State) | (Zip Code) | | | CHECK ONE: | | | | | | lcertified Public Accountant | | | | | | Public Accountant | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of/acts and circumstances relied on as the basis/or the exemption. See Section 240.17a-5(e)(2)* > Potential persons who are to respond to the collection of information conta…Read the full text as markdown