KK
Kevin M. Keefe
INDEPENDENT FINANCIAL GROUP
San Diego, CA 92130
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CRD#: 1869560
KK
Professional summary
Kevin Michael Keefe, CFA is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Kevin has worked at 15 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7, Series 6 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) FMT SOLUTIONS; 9450 SW GEMINI DR PMB -BOARD MEMBER; WWW.FMTSOLUTIONS.COM ; .25 HOUR PER WEEK DURING NORMAL TRADING HOURS FMT SOLUTIONS POSITION: Board Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: 12671 High Bluff Dr, Ste 200, San Diego CA 92130, United States DESCRIPTION: Board Member
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael Keefe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Michael Keefe'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®
Experience
Current
April 24, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Current
April 24, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Past
April 6, 2023 - February 14, 2025
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
San Diego, CA
Past
April 6, 2023 - February 14, 2025
REALTA EQUITIES, INC.
BD
CRD#: 23769
San Diego, CA
Past
June 23, 2022 - February 2, 2023
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
NEW YORK, NY
Past
April 16, 2020 - May 4, 2020
INDEPENDENT ADVISOR ALLIANCE, LLC
RIA
CRD#: 168267
San Diego, CA
Past
April 16, 2020 - May 14, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
April 2, 2020 - April 2, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
May 8, 2014 - April 3, 2018
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SAN DIEGO, CA
Past
May 6, 2014 - May 7, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SAN DIEGO, CA
Past
May 6, 2014 - April 3, 2018
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
December 2, 2010 - April 25, 2014
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
December 2, 2010 - April 25, 2014
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
December 2, 2010 - April 25, 2014
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
November 5, 2004 - March 26, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
BOSTON, MA
Past
August 24, 1998 - June 2, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
May 2, 1996 - July 6, 1998
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
December 14, 1993 - March 1, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
September 5, 1989 - September 24, 1990
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
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(4/24/2025)
IAR
California(4/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 4/6/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
