Troy Dale Pearson
Professional Summary
Troy Dale Pearson, who also goes by Troy D Pearson, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California. Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Troy has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Troy D Pearson
Similar Advisors
LPL FINANCIAL LLC
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.
Years of Experience
29 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.
Current Firm
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.
Contact Information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130Phone Number
(858) 436-3180Established
Delaware since 07/09/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
624SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
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
54,951AUM (Assets Under Management)
$12,925,435,801Disclosures
Regulatory Event
16Arbitration
2Bond
1Similar Advisors
LPL FINANCIAL LLC
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.
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.
Similar Advisors
LPL FINANCIAL LLC
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.
Primary Firm SEC Registration
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.
State Registrations and Notice Filings
(6/1/2004)
(7/1/2014)
(4/8/2025)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Oct 1998SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Troy Dale Pearson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Troy Dale Pearson's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
SCHWAB WEALTH ADVISORY, INC.
CETERA INVESTMENT ADVISERS LLC
OSAIC WEALTH, INC.
