Scott A. Dickerson
INDEPENDENT FINANCIAL GROUP
San Diego, CA 92130
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CRD#: 1816251
Professional summary
Scott Allen Dickerson, CFP®, ChFC® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Scott has worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 51 and Series 24 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) Trustee of Family Trust POSITION: Trustee NATURE: Acting as a POA, Trustee, Executor INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 3 START DATE: 01/11/2020 ADDRESS: 1388 Kettner Blvd #1505, San Diego CA 92101, United States DESCRIPTION: Trustee for family trust. (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2004 ADDRESS: 8910 University Center Lane, Ste 150, San Diego CA 92122, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (3) CAPITAL GROWTH INC. POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 02/01/2010 ADDRESS: 8910 University Center Lane, Ste 150, San Diego CA 92122, United States DESCRIPTION: REGISTERED REP AT DBA CAPITAL GROWTH INC, USED FOR MARKETING PURPOSES. (4) MICHAEL J BENJAMIN LIVING TRUST DTD 4/27/22 POSITION: Trustee NATURE: Acting as a POA, Trustee, Executor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 06/27/2022 ADDRESS: 14584 Caminito Lazanja, San Diego CA 92127, United States DESCRIPTION: Successor trustee.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Allen Dickerson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Allen Dickerson'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®
CFP®
Start date: 2013
Experience
Current
November 22, 2005 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12680 High Bluff Dr Ste 250, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Current
November 22, 2005 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12680 High Bluff Dr Ste 250, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Past
August 23, 2016 - December 31, 2016
CAPITAL GROWTH INVESTMENT MANAGEMENT SERVICES
RIA
CRD#: 106952
San Diego, CA
Past
October 31, 2005 - November 25, 2005
OSAIC SERVICES, INC.
RIA
CRD#: 133763
LA MESA, CA
Past
October 31, 2005 - November 25, 2005
OSAIC SERVICES, INC.
BD
CRD#: 133763
LA MESA, CA
Past
December 16, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
LA MESA, CA
Past
April 8, 1994 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
July 30, 1993 - April 11, 1994
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
December 14, 1992 - August 11, 1993
MONTANO SECURITIES CORPORATION
BD
CRD#: 7887
ORANGE, CA
Past
August 8, 1989 - December 3, 1990
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
June 22, 1988 - July 20, 1989
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
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
Alabama(11/23/2022)
RR
Arizona(11/22/2005)
RR
California(11/22/2005)
IAR
California(11/22/2005)
RR
Florida(6/19/2013)
RR
Hawaii(8/21/2023)
RR
Idaho(6/5/2018)
RR
Kentucky(11/23/2022)
RR
Louisiana(2/18/2011)
RR
Montana(4/25/2018)
RR
Nevada(11/22/2005)
RR
New Mexico(1/3/2007)
RR
North Carolina(1/27/2015)
RR
North Dakota(5/31/2022)
RR
Oregon(11/22/2005)
RR
South Carolina(9/22/2011)
RR
South Dakota(12/7/2022)
RR
Tennessee(6/18/2021)
RR
Texas(5/20/2015)
IAR
Texas(7/12/2017)
RR
Washington(11/22/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
