DS
Douglas S. Shaner
INDEPENDENT FINANCIAL GROUP
Tustin, CA 92780
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CRD#: 1699415
DS
Professional summary
Douglas Scott Shaner is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Tustin, California.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 5 firms and has passed the 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.
(1) WRITER/PRODUCER POSITION: Independent Contractor NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 8 START DATE: 01/15/2003 ADDRESS: 625 Avenida Vaquero, San Clemente CA 92673, United States DESCRIPTION: FREELANCE WRITER AND PRODUCER OF FICTION/NON FICTION INCLUDING FILM AND STAGE, INSTRUCTIONAL MATERIALS, AND ONLINE INSTRUCTION.. (2) BEACH CITIES KETCHUP CO. LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2011 ADDRESS: 625 Avenida Vaquero, San Clemente CA 92673, United States DESCRIPTION: 26.5% OWNER OF BEACH CITIES KETCHUP CO. LLC MANUFACTURING AND SALES OF CONDIMENTS. (3) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/19/2009 ADDRESS: 625 Avenida Vaquero, San Clemente CA 92673, United States DESCRIPTION: CA INSURANCE AGENT OFFERING SALES OF VARIOUS TYPES OF INSUARANCE PRODUCTS. (4) DOUGLAS SHANER POSITION: Independent Contractor NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2022 ADDRESS: 625 Avenida Vaquero, 625 Avenida Vaquero, San Clemente CA 92673-2904, United States DESCRIPTION: Analyzing and coaching one-on-one students writing screenplay adaptations for film or TV from biographies, books and other creative works. Both fiction and non-fiction.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Scott Shaner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Scott Shaner'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
August 18, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 15145 Woodlawn Avenue, Suite 100, Tustin, CA 92780RIA
BD
CRD#: 7717
Tustin, CA
Current
August 17, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 15145 Woodlawn Avenue, Suite 100, Tustin, CA 92780RIA
BD
CRD#: 7717
Tustin, CA
Past
October 31, 2005 - August 19, 2009
OSAIC SERVICES, INC.
RIA
CRD#: 133763
DANA POINT, CA
Past
October 31, 2005 - August 19, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
DANA POINT, CA
Past
December 16, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
DANA POINT, CA
Past
February 9, 1989 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
March 1, 1988 - February 8, 1989
SOURCE SECURITIES, INC.
BD
CRD#: 8026
Past
July 21, 1987 - March 8, 1988
SECURITIES NETWORK, INC.
BD
CRD#: 8671
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(8/17/2009)
IAR
California(8/18/2009)
RR
Colorado(8/17/2009)
RR
Mississippi(7/14/2010)
RR
Nevada(8/17/2009)
RR
Ohio(12/17/2014)
RR
Oregon(12/14/2012)
RR
Tennessee(3/8/2023)
RR
Texas(10/13/2022)
RR
Washington(8/17/2009)
Exams
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)
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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.
