Jay A. Wurtzler
INDEPENDENT FINANCIAL GROUP
San Diego, CA 92130
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CRD#: 1611624
Professional summary
Jay Alan Wurtzler, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Jay has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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.
(1) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/02/1988 ADDRESS: 8910 University Center Lane, Ste 150, San Diego CA 92122, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (2) CAPITAL GROWTH, INC. POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/02/1988 ADDRESS: 8910 University Center Lane, Ste 150, San Diego CA 92122, United States DESCRIPTION: EMPLOYEE AT DBA CAPITAL GROWTH, INC. USED FOR MARKETING PURPOSES.
CRS (Client Relationship Summary) - RIA
Click below to view Jay Alan Wurtzler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jay Alan Wurtzler'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®
CFP®
Start date: 1990
Experience
Current
October 21, 2005 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12680 High Bluff Dr Ste 250, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Current
December 10, 2003 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12680 High Bluff Dr Ste 250, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Past
February 15, 2017 - May 12, 2022
CAPITAL GROWTH INVESTMENT MANAGEMENT SERVICES
RIA
CRD#: 106952
San Diego, CA
Past
December 10, 2003 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 125953
LA JOLLA, CA
Past
January 22, 2003 - December 31, 2016
CAPITAL GROWTH INVESTMENT MANAGEMENT SERVICES
RIA
CRD#: 106952
SAN DIEGO, CA
Past
December 16, 1997 - December 16, 2003
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
SAN DIEGO, CA
Past
August 23, 1995 - December 16, 2003
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
September 1, 1988 - August 29, 1995
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
May 17, 1988 - August 23, 1988
AMERICAN CAPITAL SECURITIES
BD
CRD#: 13606
Past
February 13, 1987 - May 19, 1988
NEW ENGLAND SECURITIES
BD
CRD#: 615
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
Alaska(5/14/2018)
RR
Arizona(12/10/2003)
RR
California(12/10/2003)
IAR
California(10/21/2005)
RR
Colorado(2/9/2018)
RR
Connecticut(12/10/2003)
RR
Florida(5/17/2006)
RR
Georgia(12/11/2003)
RR
Hawaii(9/11/2024)
RR
Idaho(9/14/2016)
RR
Illinois(12/10/2003)
RR
Indiana(12/10/2003)
RR
Kansas(4/29/2019)
RR
Kentucky(12/10/2003)
RR
Louisiana(2/20/2024)
RR
Massachusetts(9/5/2019)
RR
Minnesota(10/10/2018)
RR
Missouri(12/8/2022)
RR
Nevada(12/10/2003)
RR
New Jersey(9/5/2019)
RR
New York(12/10/2003)
RR
North Carolina(11/19/2021)
RR
North Dakota(4/11/2019)
RR
Ohio(12/10/2003)
RR
Oregon(9/4/2007)
RR
Pennsylvania(3/17/2025)
RR
Tennessee(4/1/2015)
RR
Texas(12/10/2003)
IAR
Texas(6/20/2011)
RR
Virginia(6/17/2011)
RR
Washington(11/26/2008)
RR
Wisconsin(10/3/2018)
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
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.
