JA
John J. Almaguer
INDEPENDENT FINANCIAL GROUP
Pasadena, CA 91101
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CRD#: 2294703
JA
Professional summary
John Joe Almaguer JR, AIF® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Pasadena, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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) RENTAL PROPERTY POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2002 ADDRESS: 332 West Cypress Ave, Monrovia CA 91016, United States DESCRIPTION: 100% OWNER OF THREE RESIDENTIAL RENTAL PROPERTIES IN NV AND SC (2) ENT WEALTH MANAGEMENT POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2000 ADDRESS: 260 S. Los Robles, Suite 109, Pasadena CA 91101, United States DESCRIPTION: 50% OWNER OF DBA USED TO MARKET INVESTMENT ADVISORY AND INSURANCE SERVICES (3) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/27/2020 ADDRESS: 260 S. Los Robles, Suite 109, Pasadena CA 91101, United States DESCRIPTION: Will be selling a medical group plan. Will be the agent on the plan. (4) PROFESSIONAL ADVISORY SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 02/01/2023 ADDRESS: 255 E. Santa Clara St., Suite 300, Arcadia CA 91006, United States DESCRIPTION: DBA Name for Marketing Purposes. MAS WEALTH GROUP POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 04/14/2025 ADDRESS: 260 S. Los Robles, Suite 109, Pasadena CA 91101, United States DESCRIPTION: DBA for marketing purposes only - BD & Insurance business
CRS (Client Relationship Summary) - RIA
Click below to view John Joe Almaguer JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Joe Almaguer JR'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
September 28, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 260 S. Los Robles Suite 109, Pasadena, CA 91101Office #2: 255 E. Santa Clara St. Ste. 300, Arcadia, CA 91006RIA
BD
CRD#: 7717
Pasadena, CA
Current
September 28, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 260 S. Los Robles Suite 109, Pasadena, CA 91101Office #2: 255 E. Santa Clara St. Ste. 300, Arcadia, CA 91006RIA
BD
CRD#: 7717
Pasadena, CA
Past
June 9, 2004 - September 29, 2015
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
LOS ANGELES, CA
Past
January 1, 2004 - September 29, 2015
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
LOS ANGELES, CA
Past
April 27, 2000 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
March 8, 1993 - May 17, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 8, 1993 - May 17, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
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(9/28/2015)
RR
California(9/28/2015)
IAR
California(9/28/2015)
RR
Colorado(2/2/2023)
RR
Florida(12/17/2020)
RR
Georgia(9/28/2015)
RR
Hawaii(9/24/2025)
RR
Kansas(5/16/2024)
RR
Maryland(4/23/2019)
RR
Massachusetts(10/16/2015)
RR
Nevada(10/10/2018)
RR
New York(2/2/2023)
RR
North Carolina(2/3/2023)
RR
Oklahoma(2/2/2023)
RR
Oregon(9/28/2015)
RR
Rhode Island(11/21/2016)
RR
South Carolina(9/13/2021)
RR
Tennessee(1/23/2023)
RR
Texas(12/1/2015)
IAR
Texas(12/2/2015)
RR
Virginia(8/5/2022)
RR
Washington(8/3/2017)
RR
Wisconsin(5/15/2024)
Exams
State Security Law Exam
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.
