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Current Employers
Independent Financial Group, Llc

12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-08-03
  • TX RA
    APPROVED
    Since 2021-08-03

Branch Locations

165 S. Kimball Ave Ste. 110, Southlake, TX 76092 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 04/2012 01/2018
Cetera Advisor Networks El Segundo CA 01/2018 07/2021
Independent Financial Group Southlake TX 08/2021 Present
  • 04/2012 → 01/2018
    St Louis, MO
  • 01/2018 → 07/2021
    Cetera Advisor Networks
    El Segundo, CA
  • 08/2021 → Present
    Independent Financial Group
    Southlake, TX
Previous Registrations
  • 2018-01-16 → 2021-08-12
    Cetera Wealth Services, Llc
    Southlake, TX
  • 2012-08-13 → 2018-01-17
    Lewisville, TX
    Lewisville, TX
    St Louis, MO
Other Businesses

(1) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2018 ADDRESS: 165 S. Kimball Ave, Ste. 110, Southlake TX 76092, United States DESCRIPTION: Insurance Agent (2) TOROSO FINANCIAL GROUP POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 130 START DATE: 08/01/2021 ADDRESS: 165 S. Kimball Ave, Ste. 110, Southlake TX 76092, United States DESCRIPTION: Registered Representative at DBA used for marketing purposes (3) WAYPOINT FINANCIAL ADVISORS, LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 11/15/2022 ADDRESS: 165 S. Kimball Ave, Ste. 110, Southlake TX 76092, United States DESCRIPTION: DBA NAME FOR MARKETING. (4) POA FOR LEON JOHNSON - FATHER POSITION: Acting as POA for my Father. NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 10/28/2024 ADDRESS: 2507 Ralston Drive, Trophy Club TX 76262, United States DESCRIPTION: Manage financial affairs

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-15
S63 Uniform Securities Agent State Law Examination 1996-03-01
  • S66 Uniform Combined State Law Examination
    2012-06-15
  • S63 Uniform Securities Agent State Law Examination
    1996-03-01
Other Names
  • Keith A Johnson
  • Keith Allen Johnson

View on SEC IAPD

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