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CM

Clifton C. Morton

INDEPENDENT FINANCIAL GROUP
San Pedro, CA
Some features on this profile are disabled
CRD#: 2883247
CM

Professional summary

Clifton Cass Morton, who also goes by Clif Morton, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Pedro, California.

Clifton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Clifton has worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Clif Morton

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifton Cass Morton's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Clifton Cass Morton's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 27, 2021 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #2: 12671 High Bluff Dr Ste 200, San Diego, CA 92130
RIA
BD
CRD#: 7717
San Pedro, CA
Current

April 27, 2021 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130
RIA
BD
CRD#: 7717
San Diego, CA
Past

January 18, 2018 - May 4, 2021

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

January 18, 2018 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
EL SEGUNDO, CA
Past

January 18, 2018 - May 4, 2021

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
EL SEGUNDO, CA
Past

January 18, 2018 - May 4, 2021

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL SEGUNDO, CA
Past

January 18, 2018 - May 4, 2021

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL SEGUNDO, CA
Past

January 18, 2018 - May 4, 2021

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

January 18, 2018 - May 4, 2021

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

January 8, 2014 - January 2, 2018

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
El Segundo, CA
Past

January 7, 2014 - January 2, 2018

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
El Segundo, CA
Past

September 12, 2011 - June 28, 2013

GROVE POINT INVESTMENTS, LLC

RIA
CRD#: 1763
LONG BEACH, CA
Past

August 2, 2010 - June 28, 2013

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
LONG BEACH, CA
Past

April 26, 2007 - March 16, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

March 16, 2000 - September 21, 2006

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
SAN DIEGO, CA
Past

February 1, 1999 - March 17, 2000

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 1, 1998 - January 28, 1999

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

September 4, 1997 - June 1, 1998

JACK WHITE & COMPANY, INC.

BD
CRD#: 7645

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
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
(4/27/2021)
IAR
California
(4/27/2021)
RR
Florida
(5/27/2021)
RR
Massachusetts
(5/27/2021)
RR
Nevada
(5/27/2021)
RR
Texas
(5/27/2021)
IAR
Texas
(5/27/2021)
RR
Washington
(5/27/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/10/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/9/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/20/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/29/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/26/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/22/1999
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B WRAP BROCHURE (9/4/2025)
FORM ADV PART 2A BROCHURE (9/4/2025)

Direct owners and executive officers

NamePositionCRD#
INDEPENDENT FINANCIAL GROUP, INC.OWNER
DAVIS, SCOTT EARLECFO & FINOP7160800
DENNEN, BRIANCCO BROKERAGE & ADVISORY3239786
FISCHER, DAVID ALLENMANAGING DIRECTOR1634222
HEISING, SCOTT ALLENCHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR2192259
KEEFE, KEVIN MICHAELPRESIDENT, COO1869560
KREISMAN, SARAH JILLSVP & GENERAL COUNSEL2671706
PEARSON, TROY DALEROSFP2413897

Regulatory assets under management

Total Number of Accounts44,046
AUM (Assets Under Management)$ 11,322,059,063

Disclosures

Regulatory Event15
Arbitration2
Bond1

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

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717San Pedro, CA

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