PP
Paul W. Pendorf
INDEPENDENT FINANCIAL GROUP
Laguna Niguel, CA
Some features on this profile are disabled
CRD#: 1673483
PP
Professional summary
Paul Wadsworth Pendorf II, who also goes by Paul Wadsworth Pendof II, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Laguna Niguel, California.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Paul has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Wadsworth Pendof Ii
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 CONSULTANT POSITION: Independent Contractor NATURE: Consulting Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2019 ADDRESS: 31666 West Nine Drive, Laguna Niguel CA 92677, United States DESCRIPTION: INSURANCE REVIEW AND CONSULTATION OF TRADITIONAL WHOLE LIFE, UNIVERSAL LIFE AND LONG-TERM CARE POLICIES FOR A FIXED, PER POLICY FEE. (2) UNITED AMERICAN INSURANCE CO POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/02/2018 ADDRESS: 31666 West Nine Drive, Laguna Niguel CA 92677, United States DESCRIPTION: RESERVE FUND ANNUITY SALES WITH UNITED AMERICAN INSURANCE CO (3) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 80 START DATE: 10/10/2020 ADDRESS: 31666 West Nine Drive, Laguna Niguel CA 92677, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF FIXED INSURANCE
CRS (Client Relationship Summary) - RIA
Click below to view Paul Wadsworth Pendorf II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Wadsworth Pendorf II'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
June 3, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Laguna Niguel, CA
Current
October 6, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Laguna Niguel, CA
Past
October 6, 2010 - September 6, 2012
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
November 2, 2009 - July 30, 2010
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LAGUNA NIGUEL, CA
Past
September 13, 2007 - October 15, 2007
BAKER JENSEN INVESTMENT ADVISORS, LLC
RIA
CRD#: 115086
SAN JUAN CAPISTRANO, CA
Past
April 11, 2007 - October 16, 2023
MAIN STREET ADVISORS, LLC
RIA
CRD#: 116303
LAGUNA NIGUEL, CA
Past
August 4, 2003 - November 3, 2009
MAIN STREET SECURITIES, LLC
BD
CRD#: 47127
LAGUNA NIGUEL, CA
Past
October 6, 1999 - August 27, 2001
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
February 11, 1997 - July 2, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
November 7, 1995 - August 16, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
September 30, 1987 - December 20, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
September 30, 1987 - December 20, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Arizona(10/27/2014)
RR
California(10/6/2010)
IAR
California(6/3/2015)
RR
Florida(10/6/2014)
RR
Maryland(2/22/2021)
RR
Nevada(10/6/2010)
IAR
New York(7/7/2022)
RR
Oregon(9/28/2017)
RR
Rhode Island(1/6/2015)
RR
Texas(10/22/2014)
RR
Virginia(10/6/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
