JH
James E. Hurst
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CRD#: 253791
JH
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.
James Edward Hurst JR, who also goes by Jim Hurst, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Hurst
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) SADDLEBACK VALLEY INSURANCE CENTER, LLC POSITION: SENIOR VICE PRESIDENT NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 11/01/1972 ADDRESS: 3 Polaris Way; 4th Floor, Aliso Viejo CA 92656, United States DESCRIPTION: OUTSIDE INSURANCE. (2) ACRISURE OF CALIFORNIA, LLC POSITION: SENIOR VICE PRESIDENT NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 12/01/2014 ADDRESS: 3 Polaris Way; 4th Floor, Aliso Viejo CA 92656, United States DESCRIPTION: OUTSIDE INSURANCE. (3) BRAKKE SCHAFNITZ INSURANCE BROKER, LLC POSITION: SENIOR VICE PRESIDENT NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 03/01/1990 ADDRESS: 3 Polaris Way; 4th Floor, Aliso Viejo CA 92656, United States DESCRIPTION: OUTSIDE INSURANCE. (4) THE LBL GROUP POSITION: Agent/Representative NATURE: Pension Related Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2014 ADDRESS: 3 Polaris Way; 4th Floor, Aliso Viejo CA 92656, United States DESCRIPTION: MARKETING & SUPPORT FOR RETIREMENT ACCOUNTS, VA, & PENSION SALES. (5) FINANCIAL COUNSELING RESOURCES, LLC POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2023 ADDRESS: 3 Polaris Way; 4th Floor, Aliso Viejo CA 92656, United States DESCRIPTION: OUTSIDE RIA.
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®
NoneExperience
Past
July 15, 2022 - June 6, 2023
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Aliso Viejo, CA
Past
July 15, 2022 - June 6, 2023
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Aliso Viejo, CA
Past
October 6, 2021 - November 24, 2025
FINANCIAL COUNSELING RESOURCES LLC
RIA
CRD#: 315883
ALISO VIEJO, CA
Past
March 15, 2017 - December 31, 2021
FINANCIAL COUNSELING RESOURCES LLC
RIA
CRD#: 108743
Santa Ana, CA
Past
January 3, 2017 - July 15, 2022
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
Santa Ana, CA
Past
January 3, 2017 - July 15, 2022
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
Santa Ana, CA
Past
December 28, 2015 - December 31, 2016
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
LAGUNA NIGUEL, CA
Past
December 28, 2015 - December 31, 2016
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
LAGUNA NIGUEL, CA
Past
May 19, 2009 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
LAGUNA NIGUEL, CA
Past
October 11, 1990 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
LAGUNA NIGUEL, CA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
