James A. Champi

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CRD#: 2242499

Professional summary

James Anthony Champi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, James had worked at 11 firms, which includes INDEPENDENT FINANCIAL GROUP LLC, AMERIPRISE FINANCIAL SERVICES LLC, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., HSBC SECURITIES (USA) INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC., RBC CAPITAL MARKETS LLC, TUCKER ANTHONY INCORPORATED, GIBRALTAR SECURITIES CO., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

James A Champi | Jim Champi

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 13, 2014 - July 14, 2014

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

BASKING RIDGE, NJ

Past

July 8, 2013 - September 10, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ROSELAND, NJ

Past

October 1, 2012 - January 2, 2013

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WATCHUNG, NJ

Past

October 1, 2012 - January 2, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

WATCHUNG, NJ

Past

August 21, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

WATCHUNG, NJ

Past

August 21, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

WATCHUNG, NJ

Past

May 3, 2007 - August 21, 2012

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

EDISON, NJ

Past

May 2, 2007 - August 21, 2012

HSBC SECURITIES (USA) INC.

CRD#: 19585

EDISON, NJ

Past

February 13, 2003 - April 16, 2007

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

RIA

CRD#: 7404

NEW YORK, NY

Past

July 26, 2002 - April 16, 2007

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

NEW YORK, NY

Past

May 10, 2002 - August 8, 2002

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

FLORHAM PARK, NJ

Past

March 9, 2002 - August 8, 2002

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

September 1, 1999 - March 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 27, 1994 - September 1, 1999

GIBRALTAR SECURITIES CO.

CRD#: 7093

FLORHAM PARK, NJ

Past

September 10, 1992 - May 13, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 10, 1992 - May 13, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

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

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/14/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/17/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/8/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/24/2007

General Securities Sales Supervisor - General Module Examination

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.

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James A. Champi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

GIBRALTAR SECURITIES CO.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1999

Series 63

Date: 10/14/1992

Series 7

Date: 6/17/1994

Series 6

Date: 9/8/1992

Series 10

Date: 10/24/2007

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

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