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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
CA RA APPROVED 2009-08-18
  • CA RA
    APPROVED
    Since 2009-08-18

Branch Locations

15145 Woodlawn Avenue, Suite 100, Tustin, CA 92780 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Independent Financial Group San Diego CA 08/2009 Present
  • 08/2009 → Present
    Independent Financial Group
    San Diego, CA
Previous Registrations
  • 2005-10-31 → 2009-08-19
    Osaic Services, Inc.
    Phoenix, AZ
    Dana Point, CA
  • 1997-12-16 → 2005-10-31
    Sentra Securities Corporation
    Dana Point, CA
Other Businesses

(1) WRITER/PRODUCER POSITION: Independent Contractor NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 8 START DATE: 01/15/2003 ADDRESS: 625 Avenida Vaquero, San Clemente CA 92673, United States DESCRIPTION: FREELANCE WRITER AND PRODUCER OF FICTION/NON FICTION INCLUDING FILM AND STAGE, INSTRUCTIONAL MATERIALS, AND ONLINE INSTRUCTION.. (2) BEACH CITIES KETCHUP CO. LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2011 ADDRESS: 625 Avenida Vaquero, San Clemente CA 92673, United States DESCRIPTION: 26.5% OWNER OF BEACH CITIES KETCHUP CO. LLC MANUFACTURING AND SALES OF CONDIMENTS. (3) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/19/2009 ADDRESS: 625 Avenida Vaquero, San Clemente CA 92673, United States DESCRIPTION: CA INSURANCE AGENT OFFERING SALES OF VARIOUS TYPES OF INSUARANCE PRODUCTS. (4) DOUGLAS SHANER POSITION: Independent Contractor NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2022 ADDRESS: 625 Avenida Vaquero, 625 Avenida Vaquero, San Clemente CA 92673-2904, United States DESCRIPTION: Analyzing and coaching one-on-one students writing screenplay adaptations for film or TV from biographies, books and other creative works. Both fiction and non-fiction.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-03-20
  • S63 Uniform Securities Agent State Law Examination
    1990-03-20

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