DK
Diane M. Kimbro
INDEPENDENT FINANCIAL GROUP
Los Angeles, CA 90041
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CRD#: 2694413
DK
Professional summary
Diane Marie Kimbro, AIF® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Los Angeles, California.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Diane has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 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) FINANSCAPE POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2010 ADDRESS: 825 Colorado Blvd., Suite 201, Los Angeles CA 90041, United States DESCRIPTION: PRESIDENT AND PART OWNER OF FINANSCAPE FOR PENSION PLAN CONSULTING AND FINANCIAL PLANNING. (2) STONE INSURANCE SERVICES POSITION: Employee NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/18/1988 ADDRESS: 825 Colorado Blvd., Suite 201, Los Angeles CA 90041, United States DESCRIPTION: CA INSURANCE AGENT AT DBA STONE INSURANCE SERVICES OFFERING VARIOUS TYPES OF INSURANCE. (3) STONEKIMBRO RIA POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/22/2022 RIA ADDRESS: 19600 FAIRCHILD ROAD, SUITE 250, IRVINE, CA 92612, United States DESCRIPTION: Advisor for outside RIA. DIANE KIMBRO POSITION: Officer/Director NATURE: Pension Related Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/18/2025 ADDRESS: 825 Colorado Blvd., Suite 201, Los Angeles CA 90041, United States DESCRIPTION: Collect indicative data from our plans and upload this to Penchecks who is a custodian for small balances. We contact the recordkeeper and send them a spreadsheet with payee instructions to Penchecks so that small balance terminated employees can be located and/or rolled to IRAs. We are paid a nominal fee for our part of the process. The Department of Labor blesses this process to make sure participants know where their money is and it also helps plan sponsors from having a large plan audit as terminated employees count towards the number required for a plan audit.
CRS (Client Relationship Summary) - RIA
Click below to view Diane Marie Kimbro's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diane Marie Kimbro'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
October 3, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 825 Colorado Blvd. Suite 201, Los Angeles, CA 90041Office #2: 940 South Coast Drive Suite 125, Costa Mesa, CA 92626RIA
BD
CRD#: 7717
Los Angeles, CA
Current
June 23, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 825 Colorado Blvd. Suite 201, Los Angeles, CA 90041Office #2: 940 South Coast Drive Suite 125, Costa Mesa, CA 92626RIA
BD
CRD#: 7717
Los Angeles, CA
Past
February 25, 2022 - June 19, 2025
STONEKIMBRO
RIA
CRD#: 317356
COSTA MESA, CA
Past
December 1, 2005 - April 29, 2010
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
PASADENA, CA
Past
October 31, 2005 - November 4, 2005
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
November 16, 1998 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
March 13, 1996 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, 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
Alaska(11/22/2024)
RR
California(6/23/2010)
IAR
California(10/3/2011)
RR
Colorado(1/13/2021)
RR
South Carolina(11/2/2020)
RR
Texas(10/22/2025)
IAR
Texas(10/23/2025)
RR
Washington(9/17/2021)
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Los Angeles, CA 90041TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
