RP
Rick J. Pearl
INDEPENDENT FINANCIAL GROUP
Warsaw, IN 46580
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CRD#: 2591044
RP
Professional summary
Rick James Pearl, who also goes by Rick James Ballinger, Rick Pearl, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Warsaw, Indiana.
Rick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Rick has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick James Ballinger | Rick Pearl
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) INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/22/2011 ADDRESS: 1822 E. Center St., Warsaw IN 46580, United States DESCRIPTION: IN INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) PEARL FINANCIAL INC- A MEMBER OF THE HEYDE GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 155 SECURITIES TRADING HOURS: 155 START DATE: 11/22/2011 ADDRESS: 1822 E. Center St., Warsaw IN 46580, United States DESCRIPTION: 90% OWNER OF DBA PEARL FINANCIAL INC, USED FOR MARKETING PURPOSES. (3) RICK AND RANDA PEARL RENTALS POSITION: RENTAL PROPERTIES NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2022 ADDRESS: 1916 N 850 E, PIERCETON IN 46562, United States DESCRIPTION: RENTAL PROPERTIES.
CRS (Client Relationship Summary) - RIA
Click below to view Rick James Pearl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rick James Pearl'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 19, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1822 E. Center St., Warsaw, IN 46580RIA
BD
CRD#: 7717
Warsaw, IN
Current
September 19, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1822 E. Center St., Warsaw, IN 46580RIA
BD
CRD#: 7717
Warsaw, IN
Past
December 9, 2002 - October 14, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
WARSAW, IN
Past
November 29, 2002 - October 14, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
WARSAW, IN
Past
May 11, 2001 - December 20, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 4, 2000 - May 30, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
May 8, 1998 - May 30, 2001
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
March 22, 1996 - November 4, 1996
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
April 10, 1995 - March 7, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, 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
Alabama(11/1/2024)
RR
California(10/7/2022)
RR
Colorado(9/19/2019)
RR
Florida(9/19/2019)
IAR
Florida(10/27/2021)
RR
Indiana(9/19/2019)
IAR
Indiana(9/19/2019)
RR
Louisiana(8/11/2025)
RR
Michigan(9/19/2019)
RR
Ohio(9/24/2025)
RR
Texas(9/17/2025)
IAR
Texas(9/17/2025)
Exams
State Security Law Exam
State Security Law 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.
