PP
Peter D. Prescott
INDEPENDENT FINANCIAL GROUP
SAN JUAN CAPISTRANO, CA 92675
Some features on this profile are disabled
CRD#: 1283441
PP
Professional summary
Peter Douglas Prescott, AIF® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Juan Capistrano, California.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Peter has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 51 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) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/01/1987 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (2) RENTAL PROPERTY POSITION: Managing Member in Single Member LLC NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/17/2012 ADDRESS: 35402 Camino Capistrano, Dana Point CA 92624, United States DESCRIPTION: 100% OWNER OF RENTAL PROPERTY. (3) SOUTH COUNTY PROPERTY INVESTMENTS, LLC POSITION: Member and Manager. NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/09/2019 ADDRESS: 30310 Rancho Viejo Road, San Juan Capistrano CA 92675, United States DESCRIPTION: 14.29% owner of the LLC which owns two commercial office buildings in San Juan Capistrano. (4) PETER D. PRESCOTT, CPA POSITION: CPA, Owner of Sole Proprietor CPA practice NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 10/02/1981 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: CPA Tax Planning & Preparation. (5) PRESCOTT TAX & WEALTH MANAGEMENT (DBA) POSITION: Sole Proprietor, Owner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 120 START DATE: 01/22/2009 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: 100% OWNER OF DBA PRESCOTT TAX & WEALTH MANAGEMENT USED FOR MARKETING PURPOSES. (6) 412 VISTA PACIFICA H.O.A. POSITION: Board Member NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/23/2021 ADDRESS: N/A, ZOOM CALLS, United States DESCRIPTION: Board Member for condo homeowners association. (7) PRESCOTT REAL ESTATE SERVICES INC. POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/21/2023 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: President of S Corp, property management PRESCOTT MANAGEMENT, INC. POSITION: Officer/Director 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: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2025 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: Trustee services
CRS (Client Relationship Summary) - RIA
Click below to view Peter Douglas Prescott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Douglas Prescott'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®
Experience
Current
January 4, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 30950 Rancho Viejo Road Suite 100, San Juan Capistrano, CA 92675RIA
BD
CRD#: 7717
SAN JUAN CAPISTRANO, CA
Current
January 4, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 30950 Rancho Viejo Road Suite 100, San Juan Capistrano, CA 92675RIA
BD
CRD#: 7717
SAN JUAN CAPISTRANO, CA
Past
November 17, 2008 - December 31, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SAN JUAN CAPISTRANO, CA
Past
November 7, 2008 - December 31, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAN JUAN CAPISTRANO, CA
Past
October 31, 2005 - November 12, 2008
OSAIC SERVICES, INC.
RIA
CRD#: 133763
SAN JUAN CAPISTRANO, CA
Past
October 31, 2005 - November 12, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
SAN JUAN CAPISTRANO, CA
Past
April 1, 1998 - October 31, 2005
SPELMAN & CO., INC.
RIA
CRD#: 10232
SAN JUAN CAPISTRANO, CA
Past
October 22, 1997 - October 31, 2005
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
July 29, 1997 - May 19, 1998
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SAN DIEGO, CA
Past
January 30, 1997 - June 30, 1997
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
October 14, 1994 - November 22, 1995
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
November 23, 1992 - June 10, 1993
TOUCHSTONE SECURITIES, INC.
BD
CRD#: 1526
CINCINNATI, OH
Past
November 27, 1991 - February 24, 1992
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 16, 1991 - January 29, 1997
PACIFIC FINANCIAL ASSOCIATES, INC.
BD
CRD#: 23772
PARKLAND, FL
Past
June 8, 1987 - April 17, 1991
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
July 5, 1985 - December 13, 1986
ANGELES SECURITIES CORPORATION
BD
CRD#: 8083
Past
January 1, 1985 - June 28, 1985
ALISON, BAER SECURITIES INC.
BD
CRD#: 11808
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(1/4/2010)
RR
California(1/4/2010)
IAR
California(1/5/2010)
RR
Colorado(1/4/2010)
RR
Florida(1/4/2010)
RR
Georgia(1/2/2020)
RR
Hawaii(1/4/2010)
RR
Idaho(2/12/2019)
RR
Kentucky(1/4/2010)
RR
Michigan(7/1/2021)
RR
Minnesota(1/4/2010)
RR
Montana(4/18/2016)
RR
Nevada(12/22/2015)
RR
New Mexico(4/13/2016)
RR
New York(6/7/2017)
RR
North Carolina(1/4/2010)
RR
Ohio(3/12/2019)
RR
Oregon(1/4/2010)
RR
Pennsylvania(6/11/2013)
RR
South Carolina(6/4/2021)
RR
Tennessee(1/27/2020)
RR
Texas(1/4/2010)
IAR
Texas(10/10/2018)
RR
Utah(8/30/2022)
RR
Virginia(7/27/2011)
RR
Washington(1/4/2010)
RR
Wyoming(7/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
