WD
William G. Dobbins
INDEPENDENT FINANCIAL GROUP
Norfolk, CT 06058
Some features on this profile are disabled
CRD#: 2465825
WD
Professional summary
William George Dobbins, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Norfolk, Connecticut.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. William has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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) NOTARY PUBLIC POSITION: Officer/Director NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2018 ADDRESS: 10 Station Pl., Norfolk CT 06058, United States DESCRIPTION: NOTARY PUBLIC FOR CLIENTS (2) WGD WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2007 ADDRESS: 10 Station Pl., Norfolk CT 06058, United States DESCRIPTION: (100% OWNER OF DBA WGD WEALTH MANAGEMENT, LLC FOR MARKETING PURPOSES. CENTER CEMETERY NORFOLK, CT POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/20/2025 ADDRESS: 2 Station Place, Norfolk CT 06058, United States DESCRIPTION: Meet once per year to approve the annual budget as well as discuss and approve improvements to the cemetery.
CRS (Client Relationship Summary) - RIA
Click below to view William George Dobbins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William George Dobbins'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
November 15, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 10 Station Pl., Norfolk, CT 06058RIA
BD
CRD#: 7717
Norfolk, CT
Current
November 15, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 10 Station Pl., Norfolk, CT 06058RIA
BD
CRD#: 7717
Norfolk, CT
Past
January 5, 2007 - December 11, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
NORFOLK, CT
Past
January 5, 2007 - December 11, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
NORFOLK, CT
Past
January 10, 2005 - January 18, 2007
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
SOUTHINGTON, CT
Past
July 28, 2003 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
SOUTHINGTON, CT
Past
January 23, 2002 - January 18, 2007
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
SOUTHINGTON, CT
Past
December 16, 1997 - April 6, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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
California(11/15/2018)
RR
Connecticut(11/15/2018)
IAR
Connecticut(11/15/2018)
RR
District of Columbia(11/15/2018)
RR
Georgia(11/15/2018)
RR
Massachusetts(3/19/2021)
RR
Michigan(4/12/2024)
RR
New York(11/15/2018)
RR
Pennsylvania(11/15/2018)
RR
South Carolina(11/15/2018)
RR
Texas(2/3/2021)
IAR
Texas(1/12/2024)
RR
Virginia(7/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 7717Norfolk, CT 06058TRUST BUT VERIFY
Monitor William Dobbins
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
