JW
John S. Weiss
INDEPENDENT FINANCIAL GROUP
San Clemente, CA 92672
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CRD#: 1097536
JW
Professional summary
John Stephen Weiss is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Clemente, California.
John is registered as an IAR (Investment Advisor Representative) and 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"?
Yes
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.
(1) HEALTHCARE CHARITIES POSITION: Board Member NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: N/A, United States DESCRIPTION: Annually the board members meet and review the financial statements for the charity as required by the charter.
CRS (Client Relationship Summary) - RIA
Click below to view John Stephen Weiss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Stephen Weiss's 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®
NoneExperience
Current
December 11, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1520 N El Camino Real Unit 1, San Clemente, CA 92672RIA
BD
CRD#: 7717
San Clemente, CA
Current
December 8, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1520 N El Camino Real Unit 1, San Clemente, CA 92672RIA
BD
CRD#: 7717
San Clemente, 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.
BD
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
BD
CRD#: 10249
PHOENIX, AZ
Past
September 2, 1993 - October 12, 1999
ENERIC FINANCIAL SERVICES, INC.
BD
CRD#: 11761
FAIRFIELD, IA
Past
December 21, 1989 - October 22, 1993
SMYTH SECURITIES, INC.
BD
CRD#: 24082
Past
October 14, 1987 - January 12, 1990
COAST FINANCIAL ADVISORS, INC.
BD
CRD#: 6249
MISSION VIEJO, CA
Past
May 28, 1985 - November 25, 1985
J K R & COMPANY, INC.
BD
CRD#: 8040
Past
April 21, 1983 - August 31, 1987
CRESCENT SECURITIES CORPORATION
BD
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
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(12/8/2023)
IAR
California(12/11/2023)
RR
Louisiana(12/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 4/27/1987
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
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)
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.
