Stephen L. Hicks

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CRD#: 1749015

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.

Stephen Lee Hicks was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 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

October 21, 2005 - January 15, 2014

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

PHOENIX, AZ

Past

August 29, 2003 - October 21, 2005

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 125953

PHOENIX, AZ

Past

August 28, 2003 - January 15, 2014

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

PHOENIX, AZ

Past

April 11, 2002 - September 8, 2003

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

PHOENIX, AZ

Past

October 8, 1998 - September 8, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

October 5, 1994 - September 25, 1998

SPECTRUM SECURITIES, INC.

CRD#: 29305

AROURA HILLS, CA

Past

October 26, 1993 - August 30, 1994

OSAIC WEALTH, INC.

CRD#: 23131

JERSEY CITY, NJ

Past

May 15, 1990 - October 26, 1993

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

November 19, 1989 - April 24, 1990

OSAIC WEALTH, INC.

CRD#: 23131

JERSEY CITY, NJ

Past

March 27, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 27, 1987 - September 9, 1988

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

Past

October 27, 1987 - September 9, 1988

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

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

IAR

Series 66

Date: 12/28/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/10/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/26/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/1998

General Securities Principal 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

Stephen L. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

SPECTRUM SECURITIES, INC.

OSAIC WEALTH, INC.

WALNUT STREET SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/2002

Series 63

Date: 10/26/1987

Series 7

Date: 3/10/1994

Series 6

Date: 10/26/1987

Series 24

Date: 12/30/1998

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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