RS
Richard Soennichsen
INDEPENDENT FINANCIAL GROUP
SANTA ROSA, CA 95403
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CRD#: 1369108
RS
Professional summary
Richard Soennichsen, CFP®, who also goes by R H Soennichsen, Richard Henry Soennichsen, Rick Soennichsen, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Santa Rosa, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 11 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
R H Soennichsen | Richard Henry Soennichsen | Rick Soennichsen
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.
RICHARD SOENNICHSEN LICENSED CALIFORNIA INSURANCE AGENT POSITION: AGENT NATURE: INSURANCE SALES INVESTMENT RELATED: YES HOURS: 5 INVESTMENT RELATED HOURS: 5 START DATE: 06/01/1985 ADDRESS: 175 CONCOURSE BLVD. SUITE A, SANTA ROSA CA 95403 DESCRIPTION: LICENSED CALIFORNIA INSURANCE AGENT
CRS (Client Relationship Summary) - RIA
Click below to view Richard Soennichsen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Soennichsen'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
July 15, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 175 Concourse Blvd. Suite A, Santa Rosa, CA 95403RIA
BD
CRD#: 7717
SANTA ROSA, CA
Current
July 15, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 175 Concourse Blvd. Suite A, Santa Rosa, CA 95403RIA
BD
CRD#: 7717
SANTA ROSA, CA
Past
April 1, 2021 - July 17, 2024
GROVE POINT ADVISORS, LLC
RIA
CRD#: 313171
Santa Rosa, CA
Past
April 15, 2011 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
SANTA ROSA, CA
Past
March 12, 2007 - July 17, 2024
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
SANTA ROSA, CA
Past
February 16, 2005 - March 12, 2007
AFA ADVISOR SERVICES LLC
RIA
CRD#: 129104
SANTA ROSA, CA
Past
February 8, 2005 - March 12, 2007
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
SANTA ROSA, CA
Past
November 9, 1998 - February 7, 2005
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ROCKVILLE, MD
Past
August 24, 1998 - October 7, 1998
GRUBB & ELLIS SECURITIES, INC.
BD
CRD#: 17932
SANTA ANA, CA
Past
January 4, 1991 - October 16, 1998
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
July 31, 1989 - January 3, 1991
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 31, 1989 - January 3, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 4, 1989 - March 26, 1990
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
May 23, 1985 - August 10, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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(7/15/2024)
RR
California(7/15/2024)
IAR
California(7/15/2024)
RR
Colorado(7/15/2024)
RR
Idaho(7/15/2024)
RR
Minnesota(7/15/2024)
RR
Oregon(7/20/2024)
RR
South Carolina(7/15/2024)
RR
Texas(7/15/2024)
IAR
Texas(7/15/2024)
RR
Washington(7/15/2024)
Exams
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
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#: 7717Santa Rosa, CA 95403TRUST BUT VERIFY
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