James W. Smith

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CRD#: 1465186

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Wayne Smith was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1986. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 17, 2023 - October 8, 2024

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

ST LOUIS, MO

Past

August 6, 2010 - April 15, 2013

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

ST LOUIS, MO

Past

August 6, 2010 - October 8, 2024

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

ST LOUIS, MO

Past

November 2, 2009 - July 30, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

ST. LOUIS, MO

Past

December 15, 2006 - October 16, 2023

MAIN STREET ADVISORS, LLC

RIA

CRD#: 116303

ST. LOUIS, MO

Past

December 11, 2006 - November 3, 2009

MAIN STREET SECURITIES, LLC

CRD#: 47127

ST LOUIS, MO

Past

November 12, 1996 - December 19, 2006

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

ST LOUIS, MO

Past

February 23, 1987 - December 19, 2006

FFP SECURITIES, INC.

CRD#: 16337

ST. LOUIS, MO

Past

July 23, 1986 - March 13, 1987

FINANCIAL PLANNING CONSULTANTS, INC.

CRD#: 8541

Past

May 28, 1986 - July 24, 1986

PFS INVESTMENTS INC.

CRD#: 10111

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

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/22/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/27/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/3/1993

General Securities Principal Examination

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A WRAP BROCHURE MARCH 16, 2026 (3/17/2026)

FORM ADV PART 2A MARCH 16, 2026 (3/17/2026)

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.

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Advisor Monitoring

Firm Stability Insights

James W. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

NATIONAL PLANNING CORPORATION

MAIN STREET ADVISORS, LLC

MAIN STREET SECURITIES, LLC

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

FINANCIAL PLANNING CONSULTANTS, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/1994

Series 63

Date: 5/6/1986

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

Series 6

Date: 5/27/1986

Series 24

Date: 11/3/1993

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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