Charles R. Nockey

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CRD#: 1170874

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.

Charles Richard Nockey, who also goes by Chuck Nockey, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 22, Series 26 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chuck Nockey

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

October 21, 2005 - June 5, 2017

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

HEMET, CA

Past

July 9, 2004 - October 21, 2005

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 125953

OCEANSIDE, CA

Past

July 9, 2004 - June 5, 2017

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

HEMET, CA

Past

March 13, 2000 - July 16, 2004

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

OCEANSIDE, CA

Past

February 28, 2000 - July 16, 2004

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

July 27, 1999 - March 6, 2000

ASSET PLANNING SOLUTIONS, INC.

CRD#: 46091

SAN DIEGO, CA

Past

September 29, 1997 - October 6, 1999

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

June 27, 1997 - September 4, 1997

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Past

May 19, 1992 - June 13, 1997

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 8, 1985 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

January 2, 1985 - August 22, 1985

BREWER SMITH SECURITIES CO.

CRD#: 15532

Past

August 4, 1983 - November 27, 1984

BRETCOURT SECURITIES CORPORATION

CRD#: 10604

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 65

Date: 12/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/7/1983

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 3/4/1983

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/12/1984

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 39

Date: 6/9/1983

Direct Participation Programs 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

Charles R. Nockey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

ASSET PLANNING SOLUTIONS, INC.

FIRST ALLIED SECURITIES, INC.

PIM FINANCIAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BREWER SMITH SECURITIES CO.

BRETCOURT SECURITIES CORPORATION

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1999

Series 63

Date: 7/10/1985

SIE

Date: 6/5/2017

Series 6

Date: 6/7/1983

Series 22

Date: 3/4/1983

Series 26

Date: 9/12/1984

Series 39

Date: 6/9/1983

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

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