RW
Rick A. Willoughby
INDEPENDENT FINANCIAL GROUP
Phoenix, AZ 85044
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CRD#: 1238458
RW
Professional summary
Rick Alan Willoughby is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Phoenix, Arizona.
Rick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Rick has worked at 7 firms and has passed the Series 65, Series 63, Series 22TO, SIE, Series 7, Series 6, Series 22 and Series 24 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) SYMPHONY FINANCIAL SERVICES POSITION: Owner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2004 ADDRESS: 15022 S 40th Pl, Phoenix AZ 85044, United States DESCRIPTION: 50% OWNER OF DBA USED TO MARKET SECURITIES, ADVISORY, AND INSURANCE SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Rick Alan Willoughby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rick Alan Willoughby'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
Office #1: 15022 S 40th Pl, Phoenix, AZ 85044RIA
BD
CRD#: 7717
Phoenix, AZ
Current
June 24, 2004 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 15022 S 40th Pl, Phoenix, AZ 85044RIA
BD
CRD#: 7717
Phoenix, AZ
Past
September 8, 2004 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 125953
PHOENIX, AZ
Past
January 29, 2004 - June 17, 2004
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
September 28, 2000 - February 3, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
September 8, 2000 - October 9, 2000
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past
May 15, 2000 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
Past
April 4, 1984 - December 5, 1984
CENTURY 21 SECURITIES CORPORATION
BD
CRD#: 13090
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
Alabama(4/9/2024)
RR
Arizona(6/24/2004)
IAR
Arizona(10/21/2005)
RR
California(8/23/2005)
RR
Colorado(10/13/2015)
RR
Florida(7/25/2013)
RR
Georgia(6/15/2010)
RR
Kansas(4/30/2018)
RR
Michigan(8/6/2020)
RR
Missouri(9/15/2015)
RR
Nebraska(1/16/2025)
RR
Nevada(2/5/2024)
RR
New Jersey(5/9/2014)
RR
New York(9/24/2012)
RR
North Carolina(8/5/2020)
RR
Oklahoma(11/18/2014)
RR
Oregon(2/19/2025)
RR
Pennsylvania(5/27/2016)
RR
Texas(11/29/2012)
IAR
Texas(4/21/2014)
RR
Virginia(11/1/2023)
RR
Washington(1/3/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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.
