SP
Scott R. Pilchard
INDEPENDENT FINANCIAL GROUP
SCOTTSDALE, AZ 85255
Some features on this profile are disabled
CRD#: 2197234
SP
Professional summary
Scott Ronald Pilchard, AIF® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Scottsdale, Arizona.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) WESTERN SKIES ADVISORY POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 08/18/2022 ADDRESS: 2511 E Corrine Drive, Phoenix AZ 85032, United States DESCRIPTION: DBA NAME FOR MARKETING. (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 06/01/2020 ADDRESS: 2511 E Corrine Drive, Phoenix AZ 85032, United States DESCRIPTION: OUTSIDE INSURANCE. (3) ARIZONA AGRICULTURAL EDUCATION FFA FOUNDATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2021 ADDRESS: 20715 N. Pima Road, Suite 108, Scottsdale AZ 85255, United States DESCRIPTION: Board Member.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Ronald Pilchard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Ronald Pilchard'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®
Experience
Current
August 19, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 20885 North 90th Place Suite 120, Scottsdale, AZ 85255RIA
BD
CRD#: 7717
SCOTTSDALE, AZ
Current
August 18, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 20885 North 90th Place Suite 120, Scottsdale, AZ 85255RIA
BD
CRD#: 7717
SCOTTSDALE, AZ
Past
August 16, 2019 - August 18, 2022
FBL WEALTH MANAGEMENT, LLC
RIA
CRD#: 291396
West Des Moines, IA
Past
August 16, 2019 - August 18, 2022
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
Scottsdale, AZ
Past
January 6, 2017 - August 28, 2019
GLOBAL RETIREMENT PARTNERS LLC
RIA
CRD#: 172011
Phoenix, AZ
Past
January 4, 2017 - September 9, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
PHOENIX, AZ
Past
February 11, 2010 - July 10, 2015
MANNING & NAPIER ADVISORS, LLC
RIA
CRD#: 105992
CAREFREE, AZ
Past
April 10, 2001 - December 31, 2013
MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC
RIA
CRD#: 106652
CAREFREE, AZ
Past
January 26, 2001 - July 10, 2015
MANNING & NAPIER INVESTOR SERVICES, INC.
BD
CRD#: 26266
Carefree, AZ
Past
November 9, 1994 - January 17, 2001
MACKEN SECURITIES, INC.
BD
CRD#: 13390
ROSEVILLE, CA
Past
February 9, 1993 - November 2, 1994
LONDON PACIFIC SECURITIES, INC.
BD
CRD#: 25089
SACRAMENTO, CA
Past
March 20, 1992 - February 2, 1993
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, 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(8/18/2022)
IAR
Arizona(8/19/2022)
RR
California(8/18/2022)
RR
Colorado(10/5/2023)
RR
Georgia(8/18/2022)
RR
New York(7/25/2024)
RR
Ohio(8/18/2022)
RR
Oregon(9/13/2022)
RR
South Carolina(8/18/2022)
RR
Texas(9/19/2023)
IAR
Texas(9/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
