Fredric C. Peaslee

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CRD#: 1652425

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.

Fredric Carl Peaslee was a registered financial professional .

Fredric is a previously registered financial professional and started their career in finance in 1987. Fredric had worked at 9 firms and has passed the Series 63, SIE, Series 22 and Series 6 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

November 30, 2009 - August 13, 2015

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

DEER PARK, IL

Past

September 8, 2009 - December 10, 2009

LPL FINANCIAL LLC

CRD#: 6413

ROLLING MEADOWS, IL

Past

July 27, 2001 - December 31, 2002

STERLING PORTFOLIO ALLOCATION SERVICE INC

RIA

CRD#: 110796

ROLLING MEADOWS, IL

Past

October 22, 1997 - December 31, 2002

WOODFIELD FINANCIAL ADVISORS, INC.

RIA

CRD#: 123279

ROLLING MEADOWS, IL

Past

October 22, 1997 - January 4, 2021

WOODFIELD FINANCIAL ADVISORS, INC.

RIA

CRD#: 123279

DEER PARK, IL

Past

March 20, 1990 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

ROLLING MEADOWS, IL

Past

November 19, 1989 - March 27, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 27, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 12, 1988 - June 11, 1988

FSC SECURITIES CORPORATION

CRD#: 7461

Past

October 29, 1987 - January 26, 1988

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

Past

April 9, 1987 - November 20, 1987

WHYTECLIFFE SECURITIES INC.

CRD#: 17880

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

Series 63

Date: 10/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/13/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 7/31/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/1987

Investment Company Products/Variable Contracts Representative 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

622

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 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

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.

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Firm Stability Insights

Fredric C. Peaslee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

STERLING PORTFOLIO ALLOCATION SERVICE INC

WOODFIELD FINANCIAL ADVISORS, INC.

WOODFIELD FINANCIAL ADVISORS, INC.

WATERSTONE FINANCIAL GROUP, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FSC SECURITIES CORPORATION

WATERSTONE FINANCIAL GROUP, INC.

WHYTECLIFFE SECURITIES INC.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/3/1991

SIE

Date: 8/13/2015

Series 22

Date: 7/31/1987

Series 6

Date: 4/8/1987

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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