Roger M. Smith

INDEPENDENT FINANCIAL GROUP

San Diego, CA 92130

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CRD#: 1964274

Professional summary

Roger M Smith, CFP®, CIMA®, who also goes by Roger Martin Smith, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Roger has worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger Martin Smith

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) IOWA BREWING COMPANY, LLC POSITION: NON-PARTICIPATING LIMITED PARTNER. NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017 ADDRESS: 708 3RD ST. SE, CEDAR RAPIDS IA 52401, United States DESCRIPTION: PARTNER. (2) INVESTMENTS AND WEALTH INSTITUTE POSITION: Volunteer NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/03/2024 ADDRESS: 1202 FAIRBANKS CT, EVERGREEN CO 80439, United States DESCRIPTION: The Ethics Committee consists of two roles (1) Admissions and (2) Hearing Panel.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger M Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Roger M Smith'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®

CFP^®

Certified Financial Planner

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 9, 2023 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130

RIA

CRD#: 7717

San Diego, CA

Current

January 9, 2023 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130

RIA

CRD#: 7717

San Diego, CA

Past

August 8, 2019 - January 13, 2023

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

DENVER, CO

Past

August 8, 2019 - January 13, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 18, 1989 - August 5, 1994

SECURITIES CORPORATION OF IOWA

CRD#: 6945

CEDAR RAPIDS, IA

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

California
(1/9/2023)

IAR

California
(1/9/2023)

Colorado
(9/27/2023)

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

Exams

State Security Law Exam

Series 63

Series 10

Date: 3/30/2000

General Securities Sales Supervisor - General Module 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)

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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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Roger M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger M Smith's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Roger M Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

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FIRST ALLIED SECURITIES, INC.

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MORGAN STANLEY & CO. LLC

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MORGAN STANLEY DW INC.

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SECURITIES CORPORATION OF IOWA

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/2015

Series 65

Date: 12/29/1994

SIE

Date: 10/1/2018

Series 31

Date: 5/22/2000

Series 7

Date: 7/15/1989

Series 9

Date: 4/6/2000

Series 10

Date: 3/30/2000

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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