DF
David J. Ferguson
INDEPENDENT FINANCIAL GROUP
Loveland, CO
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CRD#: 1514884
DF
Professional summary
David James Ferguson is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Loveland, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 27, Series 9, Series 10 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.
I SERVE ON THE BOARD OF 4 NON-PROFIT 501-(C)(3) ORGANIZATIONS FOR WHICH I RECEIVE NO COMPENSATION. TWO ARE RELIGIOUS ORGANIZATIONS AND TWO HELP YOUTH AND YOUNG ADULTS FIND MEANING FOR LIFE. I PERIODICALLY RECEIVE A GRATUITY AS A MUSICIAN. I ALSO SERVE ON MY CHURCH'S BOARD.
CRS (Client Relationship Summary) - RIA
Click below to view David James Ferguson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David James Ferguson'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
July 20, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Loveland, CO
Current
July 19, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Loveland, CO
Past
February 29, 2016 - June 16, 2023
ARQUE CAPITAL, LTD.
RIA
CRD#: 121192
Loveland, CO
Past
July 7, 2011 - December 31, 2015
ARQUE CAPITAL, LTD.
RIA
CRD#: 121192
Loveland, CO
Past
August 6, 2009 - November 15, 2010
ARQUE CAPITAL, LTD.
RIA
CRD#: 121192
Loveland, CO
Past
May 15, 2007 - June 16, 2023
ARQUE CAPITAL, LTD.
BD
CRD#: 121192
GLENDALE, CA
Past
May 14, 2007 - March 16, 2011
ARQUE & CO INCORORATED
RIA
CRD#: 135916
TORRANCE, CA
Past
June 1, 2006 - May 17, 2007
WEDBUSH SECURITIES INC.
RIA
CRD#: 877
GLENDALE, CA
Past
June 27, 2001 - May 17, 2007
WEDBUSH SECURITIES INC.
BD
CRD#: 877
GLENDALE, CA
Past
December 18, 1989 - July 30, 2001
TRIQUEST FINANCIAL, INC.
BD
CRD#: 6596
GLENDALE, CA
Past
November 24, 1989 - December 18, 1989
TRIQUEST FINANCIAL, INC.
BD
CRD#: 6596
Past
May 14, 1988 - December 13, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 27, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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
California(7/19/2023)
RR
Colorado(7/19/2023)
IAR
Colorado(7/20/2023)
RR
Massachusetts(7/19/2023)
RR
Oklahoma(7/19/2023)
RR
Washington(7/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
