RC
Robert T. Chapman
INDEPENDENT FINANCIAL GROUP
Carlsbad, CA 92011
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CRD#: 2572838
RC
Professional summary
Robert Thomas Chapman, AIF® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Carlsbad, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Robert has worked at 4 firms and has passed the Series 63, SIE, Series 31, Series 7 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) PACIFIC CREST GLOBAL WEALTH MANAGEMENT POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 12/19/2011 ADDRESS: 2131 Palomar Airport Road, Suite 204, Carlsbad CA 92011, United States DESCRIPTION: 100% OWNER OF DBA PACIFIC CREST GLOBAL WEALTH MANAGEMENT USED FOR MARKETING PURPOSES (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 12/19/2011 ADDRESS: 2131 Palomar Airport Road, Suite 204, Carlsbad CA 92011, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (3) HOME & LOAN FINDERS POSITION: Independent Contractor NATURE: Mortgage Lending Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 03/26/2021 ADDRESS: 914 Caminito Madrigal, Unit C, Carlsbad CA 92011, United States DESCRIPTION: Offering mortgage related loans
CRS (Client Relationship Summary) - RIA
Click below to view Robert Thomas Chapman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Thomas Chapman'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
December 20, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2131 Palomar Airport Road Suite 204, Carlsbad, CA 92011RIA
BD
CRD#: 7717
Carlsbad, CA
Current
December 19, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2131 Palomar Airport Road Suite 204, Carlsbad, CA 92011RIA
BD
CRD#: 7717
Carlsbad, CA
Past
September 18, 2002 - December 21, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
August 26, 2002 - December 21, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
August 1, 1995 - August 27, 2002
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
March 13, 1995 - June 28, 1995
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, 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.
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(12/19/2011)
IAR
California(12/20/2011)
RR
Colorado(5/6/2020)
RR
Hawaii(12/19/2011)
RR
Nevada(8/21/2019)
RR
North Carolina(7/9/2021)
RR
Ohio(1/4/2018)
RR
Oklahoma(7/22/2024)
RR
South Carolina(3/14/2022)
RR
South Dakota(4/13/2021)
RR
Utah(10/16/2012)
RR
Virginia(8/30/2021)
RR
Washington(5/20/2019)
Exams
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)
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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.
