TH
Timothy Hayes
INDEPENDENT FINANCIAL GROUP
Lancaster, CA 93534
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CRD#: 240593
TH
Professional summary
Timothy Hayes, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Lancaster, California.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Timothy has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 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) START DATE 1982 I DEVOTE 160 HRS/MO (8 HRS DURING TRADING)AS SOLE PROPRIETOR/OWNER OF TIMOTHY HAYES FINANCIAL. THIS IS AN INVESTMENT RELATED ACTIVITY AND IS ALSO MY DBA FOR MY SECURITIES BUSINESS. (2) START DATE 1982 I DEVOTE 2 HRS/MO (NONE DURING TRADING) AS SOLE PROPRIETOR/OWNER OF TIMOTHY HAYES FINANCIAL. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE FIXED ANNUITIES AND INSURANCE SALES. BUSINESS ADDRESS FOR BOTH ABOVE IS THE SAME AS THE OSJ BRANCH LOCATION. (2) TIMOTHY HAYES FINANCIAL POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/19/1982 ADDRESS: 1210 West Avenue J, Suite 300, Lancaster CA 93534, United States DESCRIPTION: Owner of Timothy Hayes Financial and Ins Services, In. Sale of Fixed Annuities and life Insurance LTC. (3) TIMOTHY HAYES FINANCIAL POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/19/1982 ADDRESS: 1210 West Avenue J, Suite 300, Lancaster CA 93534, United States DESCRIPTION: Owner/ President of the Corporation: Timothy Hayes Financial and Ins Services, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Hayes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Hayes'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®
CFP®
Start date: 1987
Experience
Current
February 2, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1210 West Avenue J Suite 300, Lancaster, CA 93534RIA
BD
CRD#: 7717
Lancaster, CA
Current
February 2, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1210 West Avenue J Suite 300, Lancaster, CA 93534RIA
BD
CRD#: 7717
Lancaster, CA
Past
October 28, 2005 - February 9, 2024
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
LANCASTER, CA
Past
August 30, 1999 - February 9, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
LANCASTER, CA
Past
March 31, 1999 - August 27, 1999
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
September 28, 1982 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
February 12, 1975 - October 12, 1982
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
Past
July 18, 1973 - April 14, 1975
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
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(2/2/2024)
RR
Arkansas(2/2/2024)
RR
California(2/2/2024)
IAR
California(2/2/2024)
RR
Colorado(2/2/2024)
RR
Connecticut(2/2/2024)
RR
Florida(2/2/2024)
RR
Georgia(2/2/2024)
RR
Hawaii(2/2/2024)
RR
Idaho(2/2/2024)
RR
Illinois(2/2/2024)
RR
Iowa(5/9/2024)
RR
Kansas(1/16/2025)
RR
Louisiana(2/2/2024)
RR
Michigan(5/9/2024)
RR
Minnesota(1/16/2025)
RR
Missouri(2/2/2024)
RR
Nevada(2/2/2024)
RR
New Mexico(2/2/2024)
RR
North Carolina(2/12/2024)
RR
Ohio(10/2/2024)
RR
Oklahoma(8/26/2025)
RR
Oregon(2/2/2024)
RR
Pennsylvania(2/2/2024)
RR
Rhode Island(1/16/2025)
RR
South Carolina(5/9/2024)
RR
Texas(2/2/2024)
IAR
Texas(4/24/2024)
RR
Utah(2/2/2024)
RR
Virginia(2/2/2024)
RR
Washington(2/2/2024)
RR
West Virginia(1/16/2025)
RR
Wyoming(2/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/13/1973
Registered Representative ExaminationPrincipal/Supervisory 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.
