John S. Weiss

INDEPENDENT FINANCIAL GROUP

San Clemente, CA 92672

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CRD#: 1097536

Professional summary

John Stephen Weiss is a registered financial professional currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Clemente, California.

John is registered as a RR (Registered Representative) and started their career in finance in 1983. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 22, Series 27, Series 24 and Series 39 exams.

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) - BD

Click below to view John Stephen Weiss's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 8, 2023 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 1520 N El Camino Real Unit 1, San Clemente, CA 92672

RIA

CRD#: 7717

San Clemente, CA

Past

December 11, 2023 - April 20, 2026

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Dana Point, CA

Past

February 6, 2013 - December 13, 2023

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

Dana Point, CA

Past

May 6, 2004 - September 14, 2004

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

Dana Point, CA

Past

January 14, 2004 - December 13, 2023

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

Dana Point, CA

Past

July 31, 2000 - January 21, 2004

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

FAIRFIELD, IA

Past

October 8, 1999 - January 21, 2004

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

September 2, 1993 - October 12, 1999

ENERIC FINANCIAL SERVICES, INC.

CRD#: 11761

FAIRFIELD, IA

Past

December 21, 1989 - October 22, 1993

SMYTH SECURITIES, INC.

CRD#: 24082

Past

October 14, 1987 - January 12, 1990

COAST FINANCIAL ADVISORS, INC.

CRD#: 6249

MISSION VIEJO, CA

Past

May 28, 1985 - November 25, 1985

J K R & COMPANY, INC.

CRD#: 8040

Past

April 21, 1983 - August 31, 1987

CRESCENT SECURITIES CORPORATION

CRD#: 13263

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/8/2023)

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 65

Date: 7/15/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 4/27/1987

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/4/1983

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/9/1989

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/1985

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 2/22/1983

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

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

624

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 2A WRAP BROCHURE MARCH 16, 2026 (3/17/2026)

FORM ADV PART 2A MARCH 16, 2026 (3/17/2026)

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	54,951
AUM (Assets Under Management)	$ 12,925,435,801

Disclosures

Regulatory Event	15
Arbitration	2
Bond	1

Red Flags

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

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John S. Weiss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Stephen Weiss's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

ENERIC FINANCIAL SERVICES, INC.

SMYTH SECURITIES, INC.

COAST FINANCIAL ADVISORS, INC.

J K R & COMPANY, INC.

CRESCENT SECURITIES CORPORATION

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2000

Series 63

Date: 3/27/1984

SIE

Date: 10/1/2018

Series 15

Date: 4/27/1987

Series 7

Date: 4/20/1985

Series 22

Date: 2/4/1983

Series 27

Date: 10/9/1989

Series 24

Date: 6/26/1985

Series 39

Date: 2/22/1983

FINRA

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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