RD
Richard B. Du Vernet
INDEPENDENT FINANCIAL GROUP
Laguna Beach, CA
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CRD#: 1994669
RD
Professional summary
Richard Binkley Du Vernet, who also goes by Richard Binkley Duvernet, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Laguna Beach, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Binkley Duvernet
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) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 10/31/1989 DESCRIPTION: Outside Insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Binkley Du Vernet's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Binkley Du Vernet'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®
NoneExperience
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Laguna Beach, CA
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Laguna Beach, CA
Past
May 25, 2007 - July 15, 2022
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
LAGUNA BEACH, CA
Past
May 25, 2007 - July 15, 2022
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
LAGUNA BEACH, CA
Past
February 14, 2005 - June 14, 2007
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
LAGUNA BEACH, CA
Past
February 1, 2005 - May 31, 2007
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
LAGUNA BEACH, CA
Past
December 23, 1998 - February 3, 2005
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
IRVINE, CA
Past
October 12, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
October 12, 1989 - February 3, 2005
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(7/15/2022)
IAR
California(7/15/2022)
RR
Indiana(7/15/2022)
RR
New York(10/13/2025)
RR
Pennsylvania(7/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
