LZ
Leigh W. Zachary
INDEPENDENT FINANCIAL GROUP
The Woodlands, TX 77380
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CRD#: 2508360
LZ
Professional summary
Leigh West Zachary is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in The Woodlands, Texas.
Leigh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Leigh has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31 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.
(1) ZACHERY WEALTH MANAGEMENT POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/06/2012 ADDRESS: 9595 Six Pines Dr., Ste. 8210, The Woodlands TX 77380, United States DESCRIPTION: 100% OWNER OF DBA ZACHARY WEALTH MANAGEMENT, A BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES. (2) CONCEPT THERAPY INSTITUTE POSITION: Board Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/13/2020 ADDRESS: 25550 Boerne Stage Rd, San Antonio TX 78255, United States DESCRIPTION: To assist Concept-Therapy Institute (CTI) in the direction of their policy's and procedures. (3) BENEFIT CONCEPTS INC. POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/16/2020 ADDRESS: 9595 Six Pines Dr., Ste. 8210, The Woodlands TX 77380, United States DESCRIPTION: TX INSURANCE AGENT OFFERING VARIOUS FORMS OF INSURANCE. (4) WEST WEALTH ADVISORS POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/06/2012 ADDRESS: 9595 Six Pines Dr., Ste. 8210, The Woodlands TX 77380, United States DESCRIPTION: 100% OWNER OF DBA WEST WEALTH ADVISORS USED FOR MARKETING PUROSES.
CRS (Client Relationship Summary) - RIA
Click below to view Leigh West Zachary's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leigh West Zachary'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
September 25, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 9595 Six Pines Drive Suite 8210, The Woodlands, TX 77380RIA
BD
CRD#: 7717
The Woodlands, TX
Current
September 17, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 9595 Six Pines Drive Suite 8210, The Woodlands, TX 77380RIA
BD
CRD#: 7717
The Woodlands, TX
Past
November 10, 2017 - September 18, 2018
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
The Woodlands, TX
Past
September 29, 2006 - September 18, 2018
WESTPARK WEALTH ADVISORS, INC.
RIA
CRD#: 130914
THE WOODLANDS, TX
Past
September 29, 2006 - November 9, 2017
IMS SECURITIES, INC.
BD
CRD#: 35567
THE WOODLANDS, TX
Past
January 22, 1999 - October 16, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
HOUSTON, TX
Past
January 22, 1999 - October 16, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HOUSTON, TX
Past
December 13, 1994 - January 22, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
Colorado(9/17/2018)
RR
Georgia(7/15/2024)
RR
Idaho(6/1/2021)
RR
Illinois(7/7/2025)
RR
Michigan(10/27/2023)
RR
New Mexico(5/31/2024)
RR
North Carolina(9/17/2018)
RR
Pennsylvania(9/17/2018)
RR
Texas(9/25/2018)
IAR
Texas(9/25/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product 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#: 7717The Woodlands, TX 77380TRUST BUT VERIFY
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