LY
Lisa R. Yost
INDEPENDENT FINANCIAL GROUP
Sacramento, CA 95827
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CRD#: 1230526
LY
Professional summary
Lisa Rene Yost, who also goes by Lisa Rene Christopherson, Lisa Renee Christopherson, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Sacramento, California.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Lisa has worked at 5 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Rene Christopherson | Lisa Renee Christopherson
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) YOST FINANCIAL SERVICES POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1995 ADDRESS: 645 Hovey Way, Roseville CA 95678, United States DESCRIPTION: CA INSURANCE AGENT THROUGH YOST FINANCIAL SERVICES. (2) SUTLEY WERTZER POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 163 SECURITIES TRADING HOURS: 80 START DATE: 02/25/2019 ADDRESS: 2999 Douglas Blvd, Suite 130, Roseville CA 95661, United States DESCRIPTION: REGISTERED ADMIN AT DBA SUTLEY WERTZER, INC. USED FOR MARKETING PURPOSES. (3) Lisa Yost POSITION: Assistant to a family friend. NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 03/16/2021 ADDRESS: 2953 Leta Lane, Sacramento CA 95821, United States DESCRIPTION: Assisting with estate and other financial matters. (4) GEORGE & ISABEL STORY POSITION: Co-Trustee and Co-Executor of Isabel Story's estate. NATURE: Acting as Trustee, Executor (This activity is strictly limited. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 8 START DATE: 03/16/2021 ADDRESS: 2953 Leta Lane, Sacramento CA 95821, United States DESCRIPTION: Settling Isabel Story's estate. GEORGE & ISABEL STORY POSITION: 3-5-2024 George Story passed away on 4-19-2021 and Isabel just passed away on 2-28-2024. I am now acting as co-trustee and co-executor of Isabel Story's estate. Just some background to help understand my relationship to the Storys. I first got into the Investment business back in 1983 when I began working for George Story at his broker/dealer, GW Story & Associates, Inc. I got all my securities and insurance licenses while working there and after he sold the business we kept in touch through out the years. George and Isabel never had any children so I was their surrogate daughter. Currently friend of the family and eventually Successor Trusteeand Executor. Possibly successor POA if the need arrises. NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 8 START DATE: 03/16/2021 ADDRESS: 2953 Leta Lane, Sacramento CA 95821, United States DESCRIPTION: 3-5-2024 I have now begun the process of settling Isabel Story's estate. There are two separate trusts, one that has farm property and her portion of the family farming LLC. Her nephew is sole trustee of that trust so I will not be involved in that part of her estate. The other trust has all her other assets, which include bank accounts, investment accounts, IRAs, her home and it's contents and her car. That trust title is as follows - The Isabel M Story Rev Living Trust U/A 08/27/2015, Lisa R Yost and Frederick J Durst, TTEES. I will be getting a TIN for the trust, transferring all assets into this trust, going through the home, selling the contents and finally selling the home. After everything is liquidated and in the trust I will get a small bequeath and then all funds will go into a Vanguard Charitable Fund that is already set up. I began meeting with them to get a better understanding of their estate and what I need to make sure gets done now and after George passes. They have a donor advisedVanguard Charitable fund which George has been making the contributions to. After he has passed I will be helping Isabel to make sure these get done correctly. Once Isabel dies, Vanguard will be in full control of the account. I will also be getting familiar with their tax return information which they now are having a CPA complete.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Rene Yost's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Rene Yost'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
May 8, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 9700 Business Park Dr Ste 204, Sacramento, CA 95827RIA
BD
CRD#: 7717
Sacramento, CA
Current
October 7, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 9700 Business Park Dr Ste 204, Sacramento, CA 95827RIA
BD
CRD#: 7717
Sacramento, CA
Past
January 3, 2000 - May 7, 2019
GIBSON CAPITAL MANAGEMENT
RIA
CRD#: 115517
ROSEVILLE, CA
Past
December 14, 1999 - October 11, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
Roseville, CA
Past
December 15, 1993 - December 14, 1999
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
December 23, 1992 - December 6, 1993
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
SANTA CLARA, CA
Past
October 19, 1988 - December 23, 1992
G. W. STORY & ASSOCIATES, INC.
BD
CRD#: 6277
SACRAMENTO, CA
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(10/10/2016)
IAR
California(5/8/2019)
Exams
General 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)
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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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Sacramento, CA 95827TRUST BUT VERIFY
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