RC
Robert M. Cain
INDEPENDENT FINANCIAL GROUP
Scottsdale, AZ 85251
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CRD#: 2518708
RC
Professional summary
Robert Murray Cain, who also goes by Rob Murray Cain, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Scottsdale, Arizona.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Murray Cain
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) ACTIVE LIFE INSURANCE LICENSE. MONTHLY COMPENSATION $300.00 - $10,000 MONTHLY HOURS 40, HOURS SPENT DURING TRADING HOURS 20. (2) MARSHA CAIN DESIGNS LLC-MEMBER IN NAME ONLY. I AM NOT AN OWNER NOR INVOLVED IN THE OPERATIONS OF THE COMPANY. I DO NOT RECEIVE ANY COMPENSATION (3) PRESIDENT OF NORTHRIDGE VILLAGE HOA WHERE I LIVE. I DO NOT RECEIVE ANY COMPENSATION (4) CHAMPION FINANCIAL ADVISORS POSITION: Managing Member for the LLC NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/04/2024 ADDRESS: 6991 E Camelback Road, Suite D-300, Scottsdale AZ 85251, United States DESCRIPTION: DBA for Marketing
CRS (Client Relationship Summary) - RIA
Click below to view Robert Murray Cain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Murray Cain'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
June 23, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6991 E Camelback Road Suite D-300, Scottsdale, AZ 85251RIA
BD
CRD#: 7717
Scottsdale, AZ
Current
June 23, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6991 E Camelback Road Suite D-300, Scottsdale, AZ 85251RIA
BD
CRD#: 7717
Scottsdale, AZ
Past
June 21, 2016 - June 16, 2023
ARQUE CAPITAL, LTD.
RIA
CRD#: 121192
Phoenix, AZ
Past
May 1, 2015 - December 31, 2015
ARQUE CAPITAL, LTD.
RIA
CRD#: 121192
Phoenix, AZ
Past
December 3, 2008 - June 16, 2023
ARQUE CAPITAL, LTD.
BD
CRD#: 121192
SCOTTSDALE, AZ
Past
November 8, 1995 - December 4, 2008
FOX & COMPANY INVESTMENTS INC.
BD
CRD#: 18517
SCOTTSDALE, AZ
Past
August 16, 1994 - November 13, 1995
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Alaska(4/3/2025)
RR
Arizona(6/23/2023)
IAR
Arizona(6/23/2023)
RR
California(6/23/2023)
RR
Colorado(6/23/2023)
RR
Georgia(12/11/2023)
RR
Montana(6/27/2023)
RR
New York(6/23/2023)
RR
Ohio(6/23/2023)
RR
Oregon(6/14/2024)
RR
Pennsylvania(6/23/2023)
RR
South Carolina(4/3/2025)
RR
Virginia(8/30/2023)
Exams
State Security Law Exam
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.
