SL
Steven E. Lebaron
INDEPENDENT FINANCIAL GROUP
Murrieta, CA 92562
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CRD#: 1353793
SL
Professional summary
Steven Edward Lebaron is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Murrieta, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Steven has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Edward Lebaron's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Edward Lebaron'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
March 31, 2006 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 41870 Kalmia Street Ste. 155, Murrieta, CA 92562RIA
BD
CRD#: 7717
Murrieta, CA
Current
March 31, 2006 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 41870 Kalmia Street Ste. 155, Murrieta, CA 92562RIA
BD
CRD#: 7717
Murrieta, CA
Past
December 3, 2004 - April 13, 2006
SSN ADVISORY, INC.
RIA
CRD#: 126090
MURRIETA, CA
Past
December 3, 2004 - March 31, 2006
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
October 14, 2004 - December 1, 2004
VERITRUST FINANCIAL, LLC
RIA
CRD#: 106594
MURRIETA, CA
Past
August 30, 2002 - December 1, 2004
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
AUSTIN, TX
Past
May 8, 2002 - September 19, 2002
LIGHTHOUSE CAPITAL CORPORATION
BD
CRD#: 41812
MONTEREY, CA
Past
January 11, 1996 - December 31, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
June 6, 1994 - December 5, 1995
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
March 14, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
June 23, 1988 - March 11, 1992
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
April 9, 1987 - May 21, 1988
CONSOLIDATED RESOURCES, INC.
BD
CRD#: 13747
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(2/7/2017)
RR
Arkansas(6/30/2015)
RR
California(3/31/2006)
IAR
California(3/31/2006)
RR
Colorado(3/18/2009)
RR
Kentucky(7/19/2006)
RR
Minnesota(2/7/2023)
RR
New Mexico(9/29/2020)
RR
Ohio(6/21/2006)
RR
South Dakota(1/25/2019)
RR
Texas(7/15/2014)
IAR
Texas(7/17/2015)
RR
Utah(10/25/2007)
RR
Washington(4/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
624
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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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#: 7717Murrieta, CA 92562TRUST BUT VERIFY
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