SL
Suzette Lawrence
INDEPENDENT FINANCIAL GROUP
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 2651541
SL
Professional summary
Suzette Lawrence, who also goes by Suzy Lawrence, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Pasadena, California.
Suzette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Suzette has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Suzy Lawrence
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) GIRL SCOUT LEADER FOR TROOP 4751 (GIRL SCOUTS OF GREATER LOS ANGELES); NON-INVESTMENT RELATED; SCOUT LEADER; STARTING 9/1/2010; 6 HR/MONTH; NO TIME DURING SECURITIES TRADING HOURS; DUTIES INCLUDE WRITING CHECKS FOR THE TROOP. 2) HELPING US HELP OURSELVES FOUNDATION; INVESTMENT-RELATED; LOS ANGELES, CA; NON-PROFIT; FINANCIAL ADVISOR; STARTING 01/23/2003; APPROX 30 HRS/YR DURING SECURITIES TRADING HOURS; MANAGE ASSETS. 3) BALDEN/SCANLIN SCHOLARSHIP FUND, INC.; INVESTMENT-RELATED; LOS ANGELES, CA; FOUNDATION FOR SCHOLARSHIPS; SECRETARY; STARTING 12/23/2002; 40 HRS ANNUALLY AND DURING SECURITIES TRADING HOURS; MANAGE THE FOUNDATION AND ISSUE SCHOLARSHIPS TO QUALIFYING APPLICANTS. 4) SCHABER SCHOLARSHIP FOUNDATION; INVESTMENT-RELATED; LOS VEGAS, NV; FOUNDATION FOR SCHOLARSHIPS; FINANCIAL ADVISOR/DIRECTOR; STARTING 9/9/2012; 60 HRS ANNUALLY AND DURING SECURITIES TRADING HOURS; INVEST ASSETS; REVIEW AND DISPURSE SCHOLARSHIP FUNDS TO APPLICANTS. 6) TRUSTEE; SCHABER DESCENDANTS TRUST FBO KERRYN YARAK; START 8/5/16; I MANAGE THE TRUST. 7) TRUSTEE; SCHABER DESCENDANTS TR FBO RORY YARAK, RANDY YARAK AND ROBERT YARAK; START 8/5/16; TO PROVIDE INCOME TO THE BENEFICIARY. 8) TRUSTEE; SCHABER EXEMPT DEC. TR FBO ROB YARAK; START 2/16/17; I MANAGE THE TRUST. 9) TRUSTEE; SCHABER EXEMPT DESC. TR FBO KERRYN YARAK; START 2/16/17; I MANAGE THE TRUST. 10) TRUSTEE; SCHABER EXEMPT DESC. TR FBO RANDY YARAK; START 2/16/17; I MANAGE THE TRUST. 11) TRUSTEE; SCHABER EXEMPT DESC. TR FBO RORY YARAK; START 2/16/17; I MANAGE THE TRUST. 12) TRUSTEE; LINDOW LIVING TRUST; START 8/3/22; I MANAGE THE TRUST. 13) TRUSTEE; RYS DESCENDANTS TRUST; #2 FBO CHRIS; DATED 9/8/06; START 2/1/23. 14) EMILY VON COELIN GST TRUST; DATED 2/9/99; START 2/1/23. 15) RORY S. YARAK; IRREV TR.; DATED 2/9/99; START 2/1/23. 16) KERRYN YARRAK; IRREV TR UA; DATED 2/9/99; START 2/1/23. (17) BALDEN SCANLIN SCHOLARSHIP FUND, INC. POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 12/01/2002 ADDRESS: 155 North Lake Avenue #866, Pasadena CA 91101, United States DESCRIPTION: Manage foundation and issue scholarships to qualifying applicants. (18) MCCLENATHAN-VON COELLN-YARAK GRANDCHILDREN'S IRREV TR POSITION: Agent/Representative NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/27/2007 ADDRESS: 155 North Lake Avenue #866, Pasadena CA 91101, United States DESCRIPTION: There are five trustors of the trust. There are four insurance policies that pay into this trust when the trustor passes. Manage the assets in the trust until the last to die. Then the assets are distributed to the 18 collective grandchildren.
CRS (Client Relationship Summary) - RIA
Click below to view Suzette Lawrence's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Suzette Lawrence'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
March 15, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 155 North Lake Avenue #866, Pasadena, CA 91101RIA
BD
CRD#: 7717
Pasadena, CA
Current
March 15, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 155 North Lake Avenue #866, Pasadena, CA 91101RIA
BD
CRD#: 7717
Pasadena, CA
Past
November 25, 2013 - March 8, 2024
D.A. DAVIDSON & CO.
RIA
CRD#: 199
LOS ANGELES, CA
Past
November 25, 2013 - March 8, 2024
D.A. DAVIDSON & CO.
BD
CRD#: 199
LOS ANGELES, CA
Past
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
RIA
CRD#: 168622
LOS ANGELES, CA
Past
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
BD
CRD#: 168622
LOS ANGELES, CA
Past
December 31, 1997 - November 4, 2013
CROWELL, WEEDON & CO.
RIA
CRD#: 193
LOS ANGELES, CA
Past
May 24, 1996 - November 4, 2013
CROWELL, WEEDON & CO.
BD
CRD#: 193
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
Alabama(3/22/2024)
RR
Arizona(3/15/2024)
RR
California(3/15/2024)
IAR
California(3/18/2024)
RR
Colorado(5/9/2024)
RR
Florida(3/15/2024)
RR
Georgia(3/15/2024)
RR
Hawaii(5/15/2024)
RR
Idaho(3/15/2024)
RR
Illinois(3/15/2024)
RR
Kansas(3/15/2024)
RR
Louisiana(3/15/2024)
RR
Massachusetts(4/17/2024)
RR
Michigan(3/15/2024)
RR
Montana(4/1/2024)
RR
Nevada(3/15/2024)
RR
New Mexico(3/15/2024)
RR
New York(3/15/2024)
RR
Oregon(5/6/2024)
RR
Tennessee(3/15/2024)
RR
Texas(3/15/2024)
IAR
Texas(3/15/2024)
RR
Washington(3/15/2024)
RR
Wisconsin(3/15/2024)
RR
Wyoming(3/15/2024)
Exams
State Security Law Exam
State Security Law 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.
