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Brett A. Hartvigson

Some features on this profile are disabled
CRD#: 2263087
BH

Professional summary

Brett Arthur Hartvigson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brett is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Brett had worked at 4 firms, which includes INDEPENDENT FINANCIAL GROUP LLC, LPL FINANCIAL LLC, THRIVENT INVESTMENT MANAGEMENT INC., LUTHERAN BROTHERHOOD SECURITIES CORP..

Question & Answer

Are you a "fiduciary"?
No

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.
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

April 6, 2009 - October 27, 2023

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
SAN DIEGO, CA
Past

April 6, 2009 - October 27, 2023

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
SAN DIEGO, CA
Past

February 24, 2006 - May 29, 2009

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN DIEGO, CA
Past

February 24, 2006 - May 29, 2009

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

June 2, 2005 - February 27, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
SAN DIEGO, CA
Past

July 1, 2002 - February 27, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
MINNEAPOLIS, MN
Past

October 5, 1992 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

BD
CRD#: 4205
MINNEAPOLIS, MN

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
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/31/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/2/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/2/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC
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)
PREMIUM
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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
624

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A WRAP BROCHURE MARCH 16, 2026 (3/17/2026)
FORM ADV PART 2A MARCH 16, 2026 (3/17/2026)

Direct owners and executive officers

NamePositionCRD#
INDEPENDENT FINANCIAL GROUP, INC.OWNER
DAVIS, SCOTT EARLECFO & FINOP7160800
DENNEN, BRIANCCO BROKERAGE & ADVISORY3239786
FISCHER, DAVID ALLENMANAGING DIRECTOR1634222
HEISING, SCOTT ALLENCHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR2192259
KEEFE, KEVIN MICHAELPRESIDENT, COO1869560
KREISMAN, SARAH JILLSVP & GENERAL COUNSEL2671706
PEARSON, TROY DALEROSFP2413897

Regulatory assets under management

Total Number of Accounts54,951
AUM (Assets Under Management)$ 12,925,435,801

Disclosures

Regulatory Event15
Arbitration2
Bond1

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

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

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