Full text of INDEPENDENT FINANCIAL GROUP, LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | | 0MB APPROVAL | |----------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------|-----------------------------------------------------------------------------| | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden | | | | | hours per response: 12 | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-22870 | | | PART Ill | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | FILING FOR THE PERIOD BEGINNING O 1/01 /23 | | AND ENDING 1' 2/3 | 1 /23 | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Independent Financial Group, LLC | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>lfil Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | 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 | CA | | 92130 | | {City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Scott Heising | (800) 269-1903 | | sheising@ifgsd.com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | PKF San Diego, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | 2020 Camino del Rio North, Ste. 1000 San Diego | | CA | 92108 | | (Address) | (City) | (State) | (Zip Code) | | 09/29/03 | | 27 | | | rte of Reg;~catloo with PCAOB)(;f appUcable) | FOR OFFICIAL USE ONLY | | (PCAOB Reg;st,atioo Nombe,, ;f appUcable) | | | | | | | CFR 240.17a-S(e)(l)(ii), if applicable. | "' Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on…Read the full text as markdown