DD
Darrell D. Delphen
INDEPENDENT FINANCIAL GROUP
Dallas, TX 75244
Some features on this profile are disabled
CRD#: 1603277
DD
Professional summary
Darrell Dominic Delphen is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Dallas, Texas.
Darrell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Darrell has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 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 Darrell Dominic Delphen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darrell Dominic Delphen'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
January 24, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4851 Lbj Fwy Suite 1175, Dallas, TX 75244RIA
BD
CRD#: 7717
Dallas, TX
Current
May 18, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4851 Lbj Fwy Suite 1175, Dallas, TX 75244RIA
BD
CRD#: 7717
Dallas, TX
Past
May 19, 2009 - December 31, 2023
CORNERSTONE FINANCIAL SERVICES, INC.
RIA
CRD#: 112278
DALLAS, TX
Past
October 3, 2008 - May 15, 2012
CAMBRIDGE LEGACY SECURITIES L.L.C.
BD
CRD#: 103722
BATON ROUGE, LA
Past
January 10, 2005 - October 7, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
BATON ROUGE, LA
Past
August 22, 1997 - October 7, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
BATON ROUGE, LA
Past
September 13, 1995 - August 22, 1997
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
June 27, 1991 - September 11, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
June 27, 1991 - September 11, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
December 4, 1989 - March 21, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 16, 1988 - October 18, 1989
F.N. WOLF & CO., INC.
BD
CRD#: 13051
Past
February 26, 1987 - May 18, 1988
SHERWOOD CAPITAL, INC.
BD
CRD#: 10474
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(5/18/2012)
RR
Alaska(1/26/2015)
RR
Arkansas(5/8/2019)
RR
California(5/18/2012)
RR
Colorado(5/18/2012)
RR
Florida(5/18/2012)
RR
Georgia(5/18/2012)
RR
Idaho(8/10/2020)
RR
Illinois(5/18/2012)
RR
Indiana(5/18/2012)
RR
Louisiana(5/18/2012)
RR
Michigan(5/18/2012)
RR
Minnesota(5/18/2012)
RR
Mississippi(5/18/2012)
RR
Montana(7/28/2022)
RR
New Hampshire(11/5/2012)
RR
New Jersey(5/18/2012)
RR
New Mexico(6/15/2012)
RR
New York(9/14/2012)
RR
North Carolina(6/15/2012)
RR
Ohio(6/19/2012)
RR
Oklahoma(6/15/2012)
RR
Oregon(6/15/2012)
RR
South Carolina(5/18/2012)
RR
Tennessee(1/12/2017)
RR
Texas(6/7/2012)
IAR
Texas(1/24/2018)
RR
Virginia(12/7/2015)
RR
Wisconsin(5/18/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
