VP
Victoria L. Plum
INDEPENDENT FINANCIAL GROUP
Carlsbad, CA 92011
Some features on this profile are disabled
CRD#: 2030305
VP
Professional summary
Victoria L Plum, who also goes by VIctoria L Meister, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Carlsbad, California.
Victoria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Victoria has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Victoria L Meister
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) WEALTH MANAGEMENT GROUP POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/27/2017 ADDRESS: 2035 Corte Del Nogal, Suite 150, Carlsbad CA 92011, United States DESCRIPTION: REGISTERED ADMIN AT WEALTH MANAGEMENT GROUP USED FOR MARKETING PURPOSES. (2) INSURANCE POSITION: Non producing agent NATURE: Insurance outside of IFG INVESTMENT RELATED: YES NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/09/2012 ADDRESS: 2035 Corte Del Nogal, Suite 150, Carlsbad CA 92011, United States DESCRIPTION: CA INSURANCE AGENT OFFERING THE SALE OF VARIOUS INSURANCE PRODUCTS. (3) VICTORIA PLUM, LLC: NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 1415 Leland Way Escondido, CA 92026 DESCRIPTION: BUSINESS ENTITY FOR TAX PURPOSES.
CRS (Client Relationship Summary) - RIA
Click below to view Victoria L Plum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Victoria L Plum'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
February 25, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2035 Corte Del Nogal Ste. 150, Carlsbad, CA 92011RIA
BD
CRD#: 7717
Carlsbad, CA
Current
March 19, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2035 Corte Del Nogal Ste. 150, Carlsbad, CA 92011RIA
BD
CRD#: 7717
Carlsbad, CA
Past
November 17, 2014 - March 11, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
TUSTIN, CA
Past
August 6, 2014 - September 15, 2014
BOUSTEAD SECURITIES, LLC
BD
CRD#: 141391
IRVINE, CA
Past
January 10, 2012 - July 24, 2014
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
TUSTIN, CA
Past
March 5, 1996 - July 29, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(3/19/2015)
IAR
California(2/25/2021)
Exams
State Security Law Exam
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
