SA
Sean H. Agahi
INDEPENDENT FINANCIAL GROUP
Van Alstyne, TX 75495
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CRD#: 2448745
SA
Professional summary
Sean Hooman Agahi is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Van Alstyne, Texas.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Sean has worked at 9 firms and has passed the Series 65, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Hooman Agahi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Hooman Agahi'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®
NoneExperience
Current
August 14, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 14333 Fm 121-12, Van Alstyne, TX 75495RIA
BD
CRD#: 7717
Van Alstyne, TX
Current
August 14, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 14333 Fm 121-12, Van Alstyne, TX 75495RIA
BD
CRD#: 7717
Van Alstyne, TX
Past
January 27, 2014 - July 21, 2015
HORIZON WEALTH GROUP, LLC.
RIA
CRD#: 144712
FOLSOM, CA
Past
July 9, 2012 - August 21, 2015
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
FOLSOM, CA
Past
January 8, 2008 - December 31, 2013
HORIZON WEALTH GROUP, LLC.
RIA
CRD#: 144712
SAN RAMON, CA
Past
October 8, 2007 - December 31, 2007
HORIZON WEALTH GROUP, LLC.
RIA
CRD#: 144712
SAN RAMON, CA
Past
July 5, 2007 - July 17, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
SAN RAMON, CA
Past
June 15, 2007 - August 18, 2015
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN RAMON, CA
Past
August 9, 2006 - June 21, 2007
VALENTINE CAPITAL ASSET MANAGEMENT, INC.
RIA
CRD#: 140861
SAN RAMON, CA
Past
May 4, 2005 - July 12, 2007
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
SAN RAMON, CA
Past
May 4, 1998 - August 10, 2006
VALENTINE CAPITAL ASSET MANAGEMENT
RIA
CRD#: 109286
SAN RAMON, CA
Past
August 27, 1997 - May 5, 2005
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
February 3, 1994 - October 23, 1997
OAK BROOK SECURITIES CORP.
BD
CRD#: 16886
OAKBROOK TERRACE, IL
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(11/4/2015)
RR
California(8/14/2015)
RR
Colorado(4/28/2021)
RR
Florida(1/2/2018)
RR
Georgia(5/3/2019)
RR
Nevada(8/21/2015)
RR
Oregon(8/2/2021)
RR
Texas(8/14/2015)
IAR
Texas(8/14/2015)
RR
Virginia(3/4/2026)
RR
Wyoming(8/30/2021)
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Van Alstyne, TX 75495TRUST BUT VERIFY
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