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 |
| — | regulatory | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| DIAMOND BAR | CA | 9 | 909 396-8288 |
| DELAFIELD | WI | 8 | 2626464466 |
| HENDERSON | NV | 7 | 7028784742 |
| SAN DIEGO | CA | 6 | 858-552-6960 |
| PRESCOTT | AZ | 6 | 928 778-0933 |
| LOS ANGELES | CA | 5 | 626-844-3300 |
| SAN CLEMENTE | CA | 5 | 8779227242 |
| ROCKVILLE | MD | 4 | 240-479-2688 |
| DALLAS | TX | 4 | 9722417107 |
| HOUSTON | TX | 4 | (713) 552-0505 |
| NEW YORK | NY | 4 | (212) 938-7565 |
| GOODYEAR | AZ | 4 | 6024419441 |
| FRESNO | CA | 4 | 559-222-7441 |
| BRENTWOOD | TN | 3 | (615) 386-9141 |
| SACRAMENTO | CA | 3 | 916-438-6700 |