Scott A. Heising

INDEPENDENT FINANCIAL GROUP

San Diego, CA 92130

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CRD#: 2192259

Professional summary

Scott Allen Heising is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 11 firms and has passed the Series 65, Series 99TO, SIE, Series 7, Series 24 and Series 27 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) PRESIDENT OF "INDEPENDENT FINANCIAL GROUP, INC."; RELATED TO INSURANCE HOLDING CO; SINCE 2003; APPROX 20% TIME SPENT; CONDUCTED AT OFFICE ADDRESS OF RECORD.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Allen Heising's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Scott Allen Heising's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 21, 2005 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130

RIA

CRD#: 7717

San Diego, CA

Current

March 20, 2003 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130

RIA

CRD#: 7717

San Diego, CA

Past

June 20, 2005 - February 21, 2006

ADVISORS EDGE SECURITIES, LLC

CRD#: 133840

TARZANA, CA

Past

August 29, 2003 - June 8, 2004

AFA FINANCIAL GROUP, LLC

CRD#: 127648

CALABASAS, CA

Past

June 16, 2003 - October 21, 2005

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 125953

SAN DIEGO, CA

Past

February 11, 2002 - July 29, 2002

WESTERN GROWERS FINANCIAL SERVICES, INC.

CRD#: 115115

IRVINE, CA

Past

December 21, 2001 - January 17, 2003

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

December 21, 2001 - February 14, 2003

MOSS ADAMS SECURITIES & INSURANCE LLC

CRD#: 114950

SEATTLE, WA

Past

August 3, 1999 - November 3, 2000

CENTURY INVESTMENT GROUP INCORPORATED

CRD#: 36254

SAN DIEGO, CA

Past

July 7, 1997 - August 23, 1999

KINSELL, NEWCOMB & DE DIOS, INC

CRD#: 16427

CARLSBAD, CA

Past

April 10, 1997 - January 17, 2003

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

January 31, 1996 - January 17, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

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

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(10/21/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/12/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/18/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 1/26/1996

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Scott A. Heising

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Allen Heising's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Scott Allen Heising's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

ADVISORS EDGE SECURITIES, LLC

AFA FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

WESTERN GROWERS FINANCIAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

MOSS ADAMS SECURITIES & INSURANCE LLC

CENTURY INVESTMENT GROUP INCORPORATED

KINSELL, NEWCOMB & DE DIOS, INC

SPELMAN & CO., INC.

SENTRA SECURITIES CORPORATION

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/2003

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/20/2008

Series 24

Date: 7/18/2022

Series 27

Date: 1/26/1996

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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