Calvin E. Moores

Some features on this profile are disabled

CRD#: 1009137

Professional summary

Calvin Edward Moores was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Calvin is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Calvin had worked at 4 firms, which includes INDEPENDENT FINANCIAL GROUP LLC, CENTAURUS FINANCIAL INC., CROWELL WEEDON & CO., FREEMAN FINANCIAL SERVICES CORPORATION.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 5, 2014 - October 14, 2015

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Brea, CA

Past

November 4, 2014 - October 14, 2015

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

Brea, CA

Past

December 3, 2012 - October 17, 2014

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

FULLERTON, CA

Past

November 30, 2012 - October 17, 2014

CENTAURUS FINANCIAL, INC.

CRD#: 30833

FULLERTON, CA

Past

September 16, 2010 - December 3, 2012

CROWELL, WEEDON & CO.

RIA

CRD#: 193

WEST COVINA, CA

Past

December 22, 1983 - December 3, 2012

CROWELL, WEEDON & CO.

CRD#: 193

WEST COVINA, CA

Past

March 17, 1983 - October 3, 1983

FREEMAN FINANCIAL SERVICES CORPORATION

CRD#: 6722

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/15/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/2/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/23/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

12671 High Bluff Drive Suite 200, San Diego, CA 92130

Mailing Address

12671 High Bluff Drive Suite 200, San Diego, CA 92130

Phone number

(858) 436-3180

Established

Delaware since 07/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

622

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

Direct owners and executive officers

Name	Position	CRD#
INDEPENDENT FINANCIAL GROUP, INC.	OWNER
DAVIS, SCOTT EARLE	CFO & FINOP	7160800
DENNEN, BRIAN	CCO BROKERAGE & ADVISORY	3239786
FISCHER, DAVID ALLEN	MANAGING DIRECTOR	1634222
HEISING, SCOTT ALLEN	CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR	2192259
KEEFE, KEVIN MICHAEL	PRESIDENT, COO	1869560
KREISMAN, SARAH JILL	SVP & GENERAL COUNSEL	2671706
PEARSON, TROY DALE	ROSFP	2413897

Regulatory assets under management

Total Number of Accounts	44,046
AUM (Assets Under Management)	$ 11,322,059,063

Disclosures

Regulatory Event	15
Arbitration	2
Bond	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Calvin E. Moores

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

CROWELL, WEEDON & CO.

CROWELL, WEEDON & CO.

FREEMAN FINANCIAL SERVICES CORPORATION

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/15/2010

Series 63

Date: 5/2/1995

SIE

Date: 10/14/2015

Series 7

Date: 12/17/1983

Series 6

Date: 2/23/1983

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Similar Advisors