RB
Richard W. Bolek
INDEPENDENT FINANCIAL GROUP
Wickenburg, AZ 85390
Some features on this profile are disabled
CRD#: 2142497
RB
Professional summary
Richard Walter Bolek, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Wickenburg, Arizona.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 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) DESTINATION WEALTH ADVISOR GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/26/2020 ADDRESS: 13540 Camino Del Sol, #4, Sun City West AZ 85375, United States DESCRIPTION: 50% owner of DBA used to market securities and advisory services. (2) STRATEGIC FINANCIAL GROUP POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 15 START DATE: 05/01/1992 ADDRESS: 13540 Camino Del Sol, #4, Sun City West AZ 85375, United States DESCRIPTION:100% OWNER OF STRATEGIC FINANCIAL GROUP. PROVIDING TAX PREPARATION. (3) CHILL ZONE, LLC POSITION: Member NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2006 ADDRESS: 5951 W Irma Ln, Glendale AZ 85308, United States DESCRIPTION: 50% OWNER OF CHILL ZONE, LLC. VACATION PROPERTY. (4) FINANCIAL PLANNING OFFICES OF RICHARD W. BOLEK POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2015 ADDRESS: 13540 Camino Del Sol, #4, Sun City West AZ 85375, United States DESCRIPTION: 100% OWNER OF DBA FINANCIAL PLANNING OFFICES OF RICHARD W. BOLEK., USED TO MARKET CONSULTING AND INSURANCE SERVICES. (3) AZBERR FAMILY TRUST POSITION: Trustee & Grantor & POA of My Family Trust with myself and my wife Bobbie Bolek NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2021 ADDRESS: 850 N Quimby Dr, Wickenburg AZ 85390, United States DESCRIPTION: Trustee, Grantor, POA of my family trust with my wife Bobbie Bolek
CRS (Client Relationship Summary) - RIA
Click below to view Richard Walter Bolek's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Walter Bolek'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: 2003
Experience
Current
October 21, 2005 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1 East Apache Street #h, Wickenburg, AZ 85390RIA
BD
CRD#: 7717
Wickenburg, AZ
Current
April 15, 2005 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1 East Apache Street #h, Wickenburg, AZ 85390RIA
BD
CRD#: 7717
Wickenburg, AZ
Past
April 27, 2005 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 125953
SUN CITY WEST, AZ
Past
November 16, 1998 - April 26, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
June 3, 1993 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, CA
Past
October 30, 1992 - May 5, 1993
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 8, 1992 - October 16, 1992
SIMMERS CAPITAL MANAGEMENT CORPORATION
BD
CRD#: 29960
PHOENIX, AZ
Past
January 3, 1992 - June 9, 1992
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
May 3, 1991 - January 3, 1992
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
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
Arizona(4/15/2005)
IAR
Arizona(10/21/2005)
RR
California(4/15/2005)
RR
Florida(4/15/2005)
RR
Illinois(4/15/2005)
RR
Indiana(1/14/2021)
RR
Iowa(1/7/2019)
RR
Kentucky(7/27/2022)
RR
Michigan(4/15/2005)
RR
New Jersey(8/16/2018)
RR
New Mexico(10/6/2009)
RR
Ohio(1/25/2019)
IAR
Texas(10/10/2016)
RR
Texas(10/11/2016)
RR
Utah(12/9/2022)
RR
Virginia(10/16/2017)
RR
Wisconsin(2/19/2024)
Exams
State Security Law Exam
General 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.
