PT
Patricia C. Thom
INDEPENDENT FINANCIAL GROUP
SAN LUIS OBISPO, CA 93401
Some features on this profile are disabled
CRD#: 1192935
PT
Professional summary
Patricia Carol Thom, who also goes by Patrica Carol Lawson, Patricia Carol Lawson, Carol Thom, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Luis Obispo, California.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Patricia has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrica Carol Lawson | Patricia Carol Lawson | Carol Thom
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) THE THOM GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 02/01/2001 ADDRESS: 1880 Santa Barbara Avenue, Suite 220, San Luis Obispo CA 93401, United States DESCRIPTION: Financial Advisor
CRS (Client Relationship Summary) - RIA
Click below to view Patricia Carol Thom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patricia Carol Thom'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
September 15, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1880 Santa Barbara Avenue Suite 220, San Luis Obispo, CA 93401RIA
BD
CRD#: 7717
SAN LUIS OBISPO, CA
Current
September 15, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1880 Santa Barbara Avenue Suite 220, San Luis Obispo, CA 93401RIA
BD
CRD#: 7717
SAN LUIS OBISPO, CA
Past
July 2, 2012 - September 21, 2017
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SAN LUIS OBISPO, CA
Past
July 11, 2005 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
SAN LUIS OBISPO, CA
Past
June 13, 2005 - September 21, 2017
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN LUIS OBISPO, CA
Past
January 21, 2003 - November 15, 2017
THE THOM GROUP
RIA
CRD#: 122968
SAN LUIS OBISPO, CA
Past
January 29, 2001 - June 13, 2005
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
June 29, 1995 - January 12, 2001
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
September 4, 1990 - July 5, 1995
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 19, 1983 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
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
Arizona(9/15/2017)
RR
California(9/15/2017)
IAR
California(9/15/2017)
RR
Colorado(2/26/2021)
RR
Florida(11/9/2020)
RR
Idaho(4/5/2019)
RR
Kentucky(11/17/2021)
RR
Nevada(9/28/2017)
RR
New York(9/15/2017)
RR
Oklahoma(9/19/2017)
RR
Oregon(9/19/2017)
RR
Pennsylvania(9/20/2017)
RR
Texas(8/26/2021)
IAR
Texas(8/26/2021)
RR
Washington(9/22/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717San Luis Obispo, CA 93401TRUST BUT VERIFY
Monitor Patricia Thom
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
