FC
Frank A. Cuenca
INDEPENDENT FINANCIAL GROUP
Carefree, AZ
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CRD#: 2143454
FC
Professional summary
Frank Augustine Cuenca is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Carefree, Arizona.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Frank has worked at 10 firms and has passed the Series 65, Series 63, 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) RENTAL PROPERTY (1) POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2023 ADDRESS: McKinney TX 75071, United States DESCRIPTION: RENTAL PROPERTY (2) RENTAL PROPERTY (2) POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2023 ADDRESS: Frisco TX 75035, United States DESCRIPTION: RENTAL PROPERTY. FRANK A. CUENCA POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/13/2025 ADDRESS: P. O. Box 2800-294, Carefree AZ 85377, United States DESCRIPTION: The 2 Texas properties are managed by Circle C Property Management in Plano, TX. I personally am not involved in running the properties which is the responsibility of Circle C Property Management
CRS (Client Relationship Summary) - RIA
Click below to view Frank Augustine Cuenca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Augustine Cuenca'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
January 23, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Carefree, AZ
Current
January 20, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Carefree, AZ
Past
January 10, 2018 - January 26, 2023
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
CAREFREE, AZ
Past
January 10, 2018 - January 26, 2023
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
CAREFREE, AZ
Past
September 3, 2008 - December 7, 2017
SII INVESTMENTS, INC.
RIA
CRD#: 2225
SAN RAMON, CA
Past
September 2, 2008 - December 7, 2017
SII INVESTMENTS, INC.
BD
CRD#: 2225
SAN RAMON, CA
Past
November 1, 2006 - December 31, 2008
THE RETIREMENT GROUP
RIA
CRD#: 123102
SAN DIEGO, CA
Past
September 19, 2006 - September 2, 2008
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
SAN DIEGO, CA
Past
June 29, 2004 - September 15, 2006
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
SAN DIEGO, CA
Past
January 4, 1996 - September 15, 2006
FSC SECURITIES CORPORATION
BD
CRD#: 7461
SAN DIEGO, CA
Past
January 28, 1994 - January 12, 1996
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 1, 1993 - March 9, 1994
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
July 10, 1991 - September 13, 1993
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, 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
Arizona(1/20/2023)
IAR
Arizona(1/23/2023)
RR
California(1/23/2023)
RR
Colorado(6/15/2023)
RR
Michigan(6/1/2023)
RR
Nevada(6/12/2023)
RR
Ohio(1/20/2023)
RR
Oregon(5/30/2023)
RR
Texas(3/14/2023)
IAR
Texas(3/15/2023)
RR
Washington(5/31/2023)
Exams
State Security Law Exam
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.
