INDEPENDENT FINANCIAL GROUP, LLC of SAN DIEGO, CA is an SEC-registered investment adviser (CRD 7717). Regulatory assets under management: $12.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Scott Allen Heising | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR; CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP; TRUSTEE | — |
| David Allen Fischer | MANAGING DIRECTOR; TRUSTEE | — |
| Troy Dale Pearson | ROSFP | — |
| Sarah Jill Kreisman | CHIEF LEGAL COUNSEL/VP, COMPLIANCE,; SVP & GENERAL COUNSEL | — |
| Brian Dennen | CCO BROKERAGE & ADVISORY | Redwood City, CA |
| MILLER KENNETH LARRY JR | CHIEF EXECUTIVE OFFICER; MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER; SHAREHOLDER | — |
| HEISING SCOTT ALLEN | CEO AND PRESIDENT; CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP; CHIEF FINANCIAL OFFICER/FINOP (+4 more) | — |
| FISCHER DAVID ALLEN | MANAGING DIRECTOR; SHAREHOLDER; TRUSTEE | — |
| MYERS MARIA BONA | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/CROP; CHIEF COMPLIANCE OFFICER/ROSFP (+1 more) | — |
| PEARSON TROY DALE | OPERATIONS MANAGER/CROP; OPERATIONS MANAGER/ROSFP; ROSFP | — |
| HALL DOUGLAS CHRISTOPHER | CCO | — |
| MOLLOY ARTHUR EUGENE | SHAREHOLDER | — |
| FUENTES MARCO ADAN | CCO | — |
| WAITMAN CONSTANCE COOK | EVP/COO; VICE PRESIDENT, OPERATIONS | — |
| KREISMAN SARAH JILL | CHIEF LEGAL COUNSEL/VP, COMPLIANCE, | — |
| BATOR TRAVIS LEIGH | CCO BROKERAGE & ADVISORY | — |
| THOMAS DANNY EARL | CCO-ADVISORY | — |
| DENNEN BRIAN | CCO BROKERAGE & ADVISORY | — |
| Kevin Michael Keefe | PRESIDENT, COO | — |
| Scott Earle Davis | CFO & FINOP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-10-27 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THEENTRY OF FINDINGS THAT IT PERMITTED A REGISTERED REPRESENTATIVE TO CONTINUE ASSOCIATING WITHTHE FIRM DURING THE PERIOD OF HIS SUSPENSION WHEN HE WAS STATUTORILY DISQUALIFIED. THEFINDINGS STATED THAT THE FIRM REG… | Final | $100K |
| 2024-11-27 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE REPRESENTATIVES' RECOMMENDATIONS TO CUSTOMERS THAT THEY ROLLOVER 529 SAVINGS PLAN INVESTMENTS FRO… | Final | $75K |
| 2024-09-23 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE EXCESSIVE TRADING AND ASSURE COMPLIANCE WITH REG BI, AND FAILED TO REASONABLY SUPERVISE… | Final | $500K |
| 2019-09-30 | regulatory | SEC IA RELEASE 40-5383, SEPTEMBER 30, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST INDEPENDENT FINANCIAL GROUP, LLC ("RESPONDENT"). ON THE BASIS OF THIS ORDER AND RESPOND… | Final | — |
| 2014-06-03 | regulatory | STATE SECURITIES COMMISSION ALLEGED THAT 2 REPRESENTATIVES IN VIGINIA MADE MATERIAL MISREPRESENTATIONS AND UNTRUE STATEMENTS OF FACTS IN THE OFFER SAND SALE OF ALTERNATIVE INVESTMENTS. ALSO ALLEGED THE BROKER-DEALER DID NOT IMPLEMENT ADEQUATE PROCEDURES TO MONITOR THEIR SALES OF THESE SECURITIES. | Final | $30K |
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