KG
Kenneth P. Guerra
INDEPENDENT FINANCIAL GROUP
GRANTS PASS, OR 97526
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CRD#: 1337062
KG
Professional summary
Kenneth Paul Guerra is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Grants Pass, Oregon.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Kenneth has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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) NOTARY POSITION: notary NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/03/2005 ADDRESS: 1454 Nw 6th Street, Grants Pass OR 97526, United States DESCRIPTION: OREGON NOTARY PUBLIC (2) INSURANCE RESOURCES POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: YEs NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1998 ADDRESS: 1454 Nw 6th Street, Grants Pass OR 97526, United States DESCRIPTION: OR INSURANCE AGENT DBA INSURANCE RESOURCES OFFERING SALES OF AUTO AND HOMEOWNERS INSURANCE. (3) RENTAL PROPERTY POSITION: owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2016 ADDRESS: 1454 Nw 6th Street, Grants Pass OR 97526, United States DESCRIPTION: OWNER OF RENTAL PROPERTY. (4) HOME MORTGAGE RESOURCES POSITION: Officer/Director NATURE: Mortgage Lending Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 01/01/1998 ADDRESS: 1454 Nw 6th Street, Grants Pass OR 97526, United States DESCRIPTION: OWNER OF HOME MORTGAGE RESOURCES (5) ROGUE VALLEY TAX SERVICE POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2020 ADDRESS: 1454 Nw 6th Street, Grants Pass OR 97526, United States DESCRIPTION: 100% OWNER OF ROGUE VALLEY TAX SERVICE, A SUBSIDIARY OF INVESTMENT RESOURCES INC, PROVIDING TAX PREPARATION AND BOOKKEEPING SERVICES (6) SUNGATE WEDDINGS LLC POSITION: Member of LLC, property owner. NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/04/2020 ADDRESS: 491 Oxyoke Rd, Grants Pass OR 97526, United States DESCRIPTION: Renting of property for weddings and other events. (7) INVESTMENT RESOURCES INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/01/1999 ADDRESS: 1454 Nw 6th Street, Grants Pass OR 97526, United States DESCRIPTION: 100% owner of DBA used for marketing purposes (8) ROGUE VALLEY FINANCIAL SERVICES POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/25/2022 ADDRESS: 1454 Nw 6th Street, Grants Pass OR 97526, United States DESCRIPTION: Tax preparation and bookkeeping (9) NATIONAL ASSOCIATION OF REGISTERED SOCIAL SECURITY ANALYSTS LTD POSITION: Designee NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/09/2024 ADDRESS: 1454 Nw 6th Street, Grants Pass OR 97526, United States DESCRIPTION: Analyze social security benefits for the public.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Paul Guerra's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Paul Guerra'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
February 26, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1454 Nw 6th Street, Grants Pass, OR 97526RIA
BD
CRD#: 7717
GRANTS PASS, OR
Current
March 26, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1454 Nw 6th Street, Grants Pass, OR 97526RIA
BD
CRD#: 7717
GRANTS PASS, OR
Past
April 25, 2005 - February 26, 2010
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GRANTS PASS, OR
Past
May 2, 2001 - February 26, 2010
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
GRANTS PASS, OR
Past
October 8, 1998 - May 2, 2001
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
September 17, 1996 - October 6, 1998
MW MANAGEMENT COMPANY
BD
CRD#: 30014
EUCLID, OH
Past
March 19, 1985 - September 20, 1996
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(11/13/2018)
RR
Alaska(11/7/2017)
RR
Arizona(3/26/2010)
RR
California(4/21/2010)
RR
Florida(12/15/2015)
RR
Idaho(10/16/2020)
RR
Indiana(7/19/2024)
RR
Montana(3/26/2010)
RR
Nevada(10/23/2012)
IAR
Oregon(2/26/2010)
RR
Oregon(3/26/2010)
RR
Texas(6/4/2015)
RR
Utah(3/26/2010)
RR
Washington(3/26/2010)
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Grants Pass, OR 97526TRUST BUT VERIFY
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