JB
Jeffery D. Bricker
INDEPENDENT FINANCIAL GROUP
Kent, OH 44240
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CRD#: 2144228
JB
Professional summary
Jeffery Dean Bricker, who also goes by Jeffrey Bricker, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Kent, Ohio.
Jeffery is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Jeffery has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey Bricker
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) INVESTMENT PLANNING GROUP
POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/21/2009
ADDRESS: 4030 State Rt 43, Suite 202, Kent OH 44240, United States
DESCRIPTION: Registered Representative at DBA used for marketing purposes
CRS (Client Relationship Summary) - RIA
Click below to view Jeffery Dean Bricker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffery Dean Bricker'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
August 24, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4030 State Rt 43 Suite 202, Kent, OH 44240Office #2: 50 North Street Ne #e, Massillion, OH 44646RIA
BD
CRD#: 7717
Kent, OH
Current
August 21, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4030 State Rt 43 Suite 202, Kent, OH 44240Office #2: 50 North Street Ne #e, Massillion, OH 44646RIA
BD
CRD#: 7717
Kent, OH
Past
April 7, 2005 - December 31, 2006
WATERSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 10078
KENT, OH
Past
April 4, 2005 - August 21, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
KENT, OH
Past
October 18, 1999 - April 29, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
RAVENNA, OH
Past
June 3, 1993 - April 29, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
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(8/25/2009)
RR
California(8/21/2009)
RR
Colorado(8/12/2024)
RR
Florida(8/21/2009)
RR
Georgia(2/21/2017)
RR
Indiana(8/20/2015)
RR
Louisiana(9/30/2021)
RR
Michigan(7/23/2024)
RR
Ohio(8/21/2009)
IAR
Ohio(8/24/2009)
RR
Virginia(8/21/2009)
Exams
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)
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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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Kent, OH 44240TRUST BUT VERIFY
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