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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-09-17 |
| FL | RA | APPROVED | 2021-10-27 |
| IN | RA | APPROVED | 2019-09-19 |
Branch Locations
1822 E. Center St., Warsaw, IN 46580 • United States
North Fort Myers, FL • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Warsaw | IN | 11/2002 | 09/2019 |
| Independent Financial Group | San Diego | CA | 09/2019 | Present |
(1) INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/22/2011 ADDRESS: 1822 E. Center St., Warsaw IN 46580, United States DESCRIPTION: IN INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) PEARL FINANCIAL INC- A MEMBER OF THE HEYDE GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 155 SECURITIES TRADING HOURS: 155 START DATE: 11/22/2011 ADDRESS: 1822 E. Center St., Warsaw IN 46580, United States DESCRIPTION: 90% OWNER OF DBA PEARL FINANCIAL INC, USED FOR MARKETING PURPOSES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-25 |
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