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RH

Ralph H. Hendry

Some features on this profile are disabled
CRD#: 2422745
RH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ralph Herman Hendry, CFP® was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 1994. Ralph had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

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®
CFP®

Certified Financial Planner

Start date: 2011

Experience

Past

April 12, 2010 - November 4, 2024

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
ALEXANDRIA, VA
Past

November 24, 2009 - November 4, 2024

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
ALEXANDRIA, VA
Past

May 29, 2007 - December 14, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
WASHINGTON, DC
Past

May 29, 2007 - December 14, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
WASHINGTON, DC
Past

November 21, 2002 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
WASHINGTON, DC
Past

September 11, 2002 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
WASHINGTON, DC
Past

August 2, 1999 - September 18, 2002

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
WASHINGTON, DC
Past

January 29, 1999 - September 18, 2002

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

January 4, 1999 - January 29, 1999

RIGGS SECURITIES INC.

BD
CRD#: 46202
WASHINGTON, DC
Past

October 23, 1997 - January 14, 1999

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 14, 1995 - October 3, 1997

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

January 13, 1994 - June 15, 1995

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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
IAR
Series 65
Date: 1/18/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/14/1994
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: 1/12/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/3/1998
General Securities Principal 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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