JM
Joe H. Miller
INDEPENDENT FINANCIAL GROUP
Carlsbad, CA
Some features on this profile are disabled
CRD#: 1172989
JM
Professional summary
Joe Henry Miller JR, who also goes by Joe Henry Miler Jr, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Carlsbad, California.
Joe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Joe has worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 22, Series 14, Series 27, Series 4, Series 53, Series 24 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Henry Miler 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.
(2) CK ENTERPRISES LLC POSITION: Managing Member NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/28/2016 ADDRESS: 1054 Snipe Ct, Carlsbad CA , United States DESCRIPTION: 50% owner of horse stable. Providing management, Books and Records, etc. (3) BEACONS LLC POSITION: Independent Contractor NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 25 START DATE: 09/25/2024 ADDRESS: 1054 Snipe Ct, Carlsbad CA 92011-1214, United States DESCRIPTION: Beacons LLC was formed for my consulting business. My consulting services may include business analysis, business plan review and risk management and possibly exit strategies. Clients could include real estate companies or small financial services companies. I could also be consulting on business acquisitions. (4) BEACONS INC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 02/14/2025 ADDRESS: 1054 Snipe Court, Carlsbad CA 92009, United States DESCRIPTION: I will be the CEO of Beacons Inc over seeing all aspects of the business. I will act as both a series 24 principal and temporally as the CCO of the Firm. There will be one or more series 24 principals working for Beacons who will be located at the exchange. (1) LIFE, HEALTH, DISABILITY INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/14/2003 ADDRESS: 1054 Snipe Court, Carlsbad CA 92011, United States DESCRIPTION: On occasion, I write insurance business.
CRS (Client Relationship Summary) - RIA
Click below to view Joe Henry Miller JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joe Henry Miller JR'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
October 21, 2005 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Carlsbad, CA
Current
November 17, 2003 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Carlsbad, CA
Current
March 6, 2025 - Present
BEACONS STRATEGIC CAPITAL, INC.
BD
CRD#: 32754
Carlsbad, CA
Past
January 17, 2023 - November 3, 2023
XTON FINANCIAL LLC
BD
CRD#: 132847
San Diego, CA
Past
November 17, 2003 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 125953
SAN DIEGO, CA
Past
November 16, 1998 - November 21, 2003
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
CARLSBAD, CA
Past
November 16, 1998 - November 21, 2003
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
June 14, 1988 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, CA
Past
November 9, 1984 - May 19, 1988
GRANITE CAPITAL
BD
CRD#: 15219
Past
July 11, 1984 - November 13, 1984
ALL SERVICES FINANCIAL CENTER
BD
CRD#: 7832
Past
January 5, 1984 - July 13, 1984
SPERRY YOUNG FINANCIAL SERVICES, INC.
BD
CRD#: 13296
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(11/17/2003)
IAR
California(10/21/2005)
RR
New York(4/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/17/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/17/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange
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)
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)
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.
