JA
Jason M. Alfonso
INDEPENDENT FINANCIAL GROUP
Loomis, CA
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CRD#: 2805941
JA
Professional summary
Jason Moore Alfonso is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Loomis, California.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jason has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/1996 ADDRESS: 3956 Howard Lane, Loomis CA 95650, United States DESCRIPTION: INSURANCE AGENT SALES VARIOUS TYPES OF INSURANCE PRODUCTS (2) ALFONSO/CONRAD INDEPENDENT FINANCIAL ADVICE POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/08/2013 ADDRESS: 3956 Howard Lane, Loomis CA 95650, United States DESCRIPTION: 50% OWNER OF DBA USED FOR MARKETING PURPOSES RENTAL PROPERTY POSITION: own a rental property. to be managed by a property manager. NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/06/2025 ADDRESS: 3956 Howard Lane, Loomis CA 95650, United States DESCRIPTION: Purchased real estate to be a rental. Property management company will take care of all tasks related to this.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Moore Alfonso's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason Moore Alfonso'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
May 8, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Loomis, CA
Current
May 8, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Loomis, CA
Past
February 10, 2011 - March 27, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
SACRAMENTO, CA
Past
February 9, 2011 - March 27, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SACRAMENTO, CA
Past
May 30, 2001 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
SACRAMENTO, CA
Past
May 29, 2001 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
SACRAMENTO, CA
Past
December 18, 1998 - May 29, 2001
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
June 13, 1997 - August 19, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
December 13, 1996 - December 18, 1998
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, 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
Arizona(7/17/2013)
RR
California(5/8/2013)
IAR
California(5/8/2013)
RR
Colorado(11/9/2020)
RR
Florida(6/1/2016)
RR
Georgia(2/8/2023)
RR
Montana(4/30/2018)
RR
Nevada(11/16/2020)
RR
New York(8/25/2023)
RR
Ohio(5/21/2018)
RR
Oregon(6/1/2016)
RR
South Carolina(5/1/2018)
RR
Texas(6/10/2021)
IAR
Texas(6/10/2021)
Exams
State Security Law Exam
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.
