Kathleen E. Bing

INDEPENDENT FINANCIAL GROUP

SAN DIEGO, CA

Some features on this profile are disabled

CRD#: 1703963

Professional summary

Kathleen Elizabeth Bing, who also goes by Kathie Bing, is a registered financial professional currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.

Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1993. Kathleen has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathie Bing

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) - BD

Click below to view Kathleen Elizabeth Bing's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 1, 2023 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SAN DIEGO, CA

Past

March 9, 2009 - June 5, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

FOLSOM, CA

Past

March 11, 2004 - March 9, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

SAN DIEGO, CA

Past

September 23, 2003 - March 30, 2004

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

January 2, 2002 - September 29, 2003

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

September 12, 2000 - December 31, 2001

ASSET PLANNING SOLUTIONS, INC.

CRD#: 46091

SAN DIEGO, CA

Past

March 16, 1999 - September 17, 1999

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

May 23, 1997 - July 16, 1998

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 19, 1995 - May 22, 1997

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

December 6, 1994 - April 26, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 4, 1993 - November 11, 1994

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

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.

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

Arizona
(6/1/2023)

California
(6/1/2023)

Kentucky
(7/29/2024)

Michigan
(6/5/2023)

New Mexico
(10/15/2025)

Washington
(6/1/2023)

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

IAR

Series 65

Date: 6/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/1/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 6/4/1999

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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)

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)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathleen E. Bing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathleen Elizabeth Bing's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

MML INVESTORS SERVICES, LLC

FORESTERS EQUITY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

ASSET PLANNING SOLUTIONS, INC.

LEGACY FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

DETWILER FENTON WEALTH MANAGEMENT INC

PRUCO SECURITIES, LLC.

PACIFIC SELECT DISTRIBUTORS, LLC

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/1999

Series 63

Date: 10/22/1993

SIE

Date: 10/1/2018

Series 7

Date: 12/19/2000

Series 6

Date: 10/1/1993

Series 24

Date: 7/24/2006

Series 26

Date: 6/4/1999

FINRA

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

Similar Advisors