James J. Dinapoli

INDEPENDENT FINANCIAL GROUP

Lake Placid, FL 33852

CRD#: 1712651

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Professional summary

James John Dinapoli is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Lake Placid, Florida.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James John Dinapoli's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James John Dinapoli'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 10, 2026 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 160 E. Interlake Blvd, Lake Placid, FL 33852

RIA

CRD#: 7717

Lake Placid, FL

Current

June 9, 2026 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 160 E. Interlake Blvd, Lake Placid, FL 33852

RIA

CRD#: 7717

Lake Placid, FL

Past

June 14, 2024 - June 22, 2026

OSAIC WEALTH, INC.

RIA

CRD#: 23131

LAKE PLACID, FL

Past

June 14, 2024 - June 22, 2026

OSAIC WEALTH, INC.

CRD#: 23131

LAKE PLACID, FL

Past

July 12, 2019 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LAKE PLACID, FL

Past

July 9, 2019 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

LAKE PLACID, FL

Past

December 23, 2008 - July 10, 2019

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

LAKE PLACID, FL

Past

December 16, 2008 - July 10, 2019

CADARET, GRANT & CO., INC.

CRD#: 10641

LAKE PLACID, FL

Past

October 31, 2005 - December 19, 2008

OSAIC SERVICES, INC.

RIA

CRD#: 133763

LAKE PLACID, FL

Past

October 31, 2005 - December 19, 2008

OSAIC SERVICES, INC.

CRD#: 133763

LAKE PLACID, FL

Past

April 14, 2004 - October 31, 2005

SUNAMERICA SECURITIES, INC.

RIA

CRD#: 20068

LAKE PLACID, FL

Past

January 9, 2003 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 28, 1995 - December 31, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

January 3, 1994 - April 28, 1995

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

May 27, 1993 - January 3, 1994

JW GENESIS CLEARING CORP.

CRD#: 6631

BOCA RATON, FL

Past

December 18, 1989 - June 18, 1993

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

December 12, 1988 - December 21, 1989

J F LOWE & COMPANY INCORPORATED

CRD#: 11830

Past

September 22, 1987 - December 3, 1988

GREENTREE SECURITIES CORP.

CRD#: 7372

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Colorado
(6/9/2026)

Connecticut
(6/9/2026)

Florida
(6/9/2026)

IAR

Florida
(6/10/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/18/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/12/1987

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: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 10/30/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

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)

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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

624

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 2A WRAP BROCHURE MARCH 16, 2026 (3/17/2026)

FORM ADV PART 2A MARCH 16, 2026 (3/17/2026)

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	54,951
AUM (Assets Under Management)	$ 12,925,435,801

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.

Contact information

xxxxx@xxxx.xxx

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James J. Dinapoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James John Dinapoli's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James John Dinapoli's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JWGENESIS SECURITIES, INC.

JW GENESIS CLEARING CORP.

JOSEPHTHAL & CO., INC.

J F LOWE & COMPANY INCORPORATED

GREENTREE SECURITIES CORP.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/18/2003

Series 63

Date: 10/12/1987

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 10/30/1992

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

Contact information

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