Richard B. Mcfarland

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CRD#: 1080626

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Benn Mcfarland JR, who also goes by Richard Benn Mcfarland, Richard Benn Mcfarland Jr., was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Benn Mcfarland | Richard Benn Mcfarland Jr.

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.

(1) RICHARD B MCFARLAND INSURANCE SERVICES POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2015 ADDRESS: 5 Gaelsong Lane, Wyomissing PA 19610, United States DESCRIPTION: OUTSIDE INSURANCE. (2) NPB FINANCIAL GROUP POSITION: Passive Ownership NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/23/2006 ADDRESS: 3500 W Olive Avenue, Suite 300, Burbank CA 91505, United States DESCRIPTION: Shareowner.

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

July 15, 2022 - December 5, 2022

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Wyomissing, PA

Past

July 15, 2022 - January 3, 2023

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

Wyomissing, PA

Past

May 17, 2006 - July 15, 2022

NPB FINANCIAL GROUP, LLC

RIA

CRD#: 137743

Laguna Woods, CA

Past

May 17, 2006 - July 15, 2022

NPB FINANCIAL GROUP, LLC

CRD#: 137743

Laguna Woods, CA

Past

July 8, 1997 - May 15, 2006

ASSOCIATED SECURITIES CORP.

RIA

CRD#: 12969

WATSONVILLE, CA

Past

July 8, 1997 - May 15, 2006

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

WATSONVILLE, CA

Past

July 10, 1991 - May 8, 2019

MCFARLAND ASSOCIATES

RIA

CRD#: 111316

Laguna Woods, CA

Past

November 30, 1990 - May 28, 1991

FOOTHILL SECURITIES, INC.

CRD#: 1027

SANTA CLARA, CA

Past

August 6, 1990 - May 15, 2006

ASSOCIATED SECURITIES CORP.

CRD#: 12969

WATSONVILLE, CA

Past

May 11, 1984 - November 30, 1990

EQUITY ENGINEERING, INC.

CRD#: 8260

Past

September 28, 1983 - December 19, 1989

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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

Series 63

Date: 3/27/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1991

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/17/1983

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 9/26/1983

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/23/1991

General Securities Principal 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)

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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.

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Firm Stability Insights

Richard B. Mcfarland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

NPB FINANCIAL GROUP, LLC

NPB FINANCIAL GROUP, LLC

ASSOCIATED SECURITIES CORP.

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

MCFARLAND ASSOCIATES

FOOTHILL SECURITIES, INC.

ASSOCIATED SECURITIES CORP.

EQUITY ENGINEERING, INC.

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/1991

SIE

Date: 10/1/2018

Series 7

Date: 4/15/1991

Series 6

Date: 11/17/1983

Series 22

Date: 9/26/1983

Series 24

Date: 7/23/1991

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

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