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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 2011-06-20
CA RA APPROVED 2005-10-21
  • TX RA
    APPROVED
    Since 2011-06-20
  • CA RA
    APPROVED
    Since 2005-10-21

Branch Locations

12680 High Bluff Dr Ste 250, San Diego, CA 92130 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Capital Growth Inc San Diego CA 04/1988 Present
Independent Financial Group Inc La Jolla CA 12/2003 Present
Hagerty Stewart & Associates Llc La Jolla CA 12/2003 Present
  • 04/1988 → Present
    Capital Growth Inc
    San Diego, CA
  • 12/2003 → Present
    Independent Financial Group Inc
    La Jolla, CA
  • 12/2003 → Present
    Hagerty Stewart & Associates Llc
    La Jolla , CA
Previous Registrations
  • 2017-02-15 → 2022-05-12
    Capital Growth Investment Management Services
    San Diego, CA
  • 2003-01-22 → 2016-12-31
    Capital Growth Investment Management Services
    San Diego, CA
  • 2003-12-10 → 2005-10-21
    Independent Financial Group, Llc
    La Jolla, CA
  • 1997-12-16 → 2003-12-16
    Sentra Securities Corporation
    San Diego, CA
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: 05/02/1988 ADDRESS: 8910 University Center Lane, Ste 150, San Diego CA 92122, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (2) CAPITAL GROWTH, INC. POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/02/1988 ADDRESS: 8910 University Center Lane, Ste 150, San Diego CA 92122, United States DESCRIPTION: EMPLOYEE AT DBA CAPITAL GROWTH, INC. USED FOR MARKETING PURPOSES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-27
S63 Uniform Securities Agent State Law Examination 1987-03-17
  • S66 Uniform Combined State Law Examination
    2002-12-27
  • S63 Uniform Securities Agent State Law Examination
    1987-03-17
Designations

View on SEC IAPD

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