CS
Craig C. Spanton
INDEPENDENT FINANCIAL GROUP
Boise, ID 83704
Some features on this profile are disabled
CRD#: 2945050
CS
Professional summary
Craig Clark Spanton, who also goes by Craig C Spanton, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Boise, Idaho.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Craig has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig C Spanton
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) ADA COUNTY BOARD OF COMMUNITY GUARDIANS POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/12/2019 ADDRESS: 200 W. Front St., suite 220, Boise ID 83702, United States DESCRIPTION: MEMBER OF BOARD OF DIRECTORS FOR ADA COUNTY BOARD OF COMMUNITY GUARDIANS (2) LIVE INCORPORATED POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/27/2013 ADDRESS: PO Box 50451, Boise ID 83705, United States DESCRIPTION: EXECUTIVE DIRECTOR of LIVE INCORPORATED THE ACTING BOARD MEMBERS (3) LIONS CLUB POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 11/19/2008 ADDRESS: Zoom Meetings, United States DESCRIPTION: I am the President of my Lions Club.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Clark Spanton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Craig Clark Spanton'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
December 1, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 9543 W. Emerald Street Suite 201, Boise, ID 83704RIA
BD
CRD#: 7717
Boise, ID
Current
December 1, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 9543 W. Emerald Street Suite 201, Boise, ID 83704RIA
BD
CRD#: 7717
Boise, ID
Past
November 4, 2009 - December 1, 2015
TRICOR ADVISORY SERVICES, LLC
RIA
CRD#: 141775
LAS VEGAS, NV
Past
October 5, 2009 - December 1, 2015
TRICOR FINANCIAL, LLC
BD
CRD#: 142518
MERIDIAN, ID
Past
November 2, 2007 - September 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOISE, ID
Past
November 2, 2007 - September 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOISE, ID
Past
January 29, 2007 - November 2, 2007
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
BOISE, ID
Past
September 19, 2001 - November 2, 2007
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
BOISE, ID
Past
March 26, 1999 - April 3, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 5, 1997 - April 1, 1999
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
Arizona(8/8/2016)
RR
California(3/12/2025)
RR
Florida(11/14/2024)
RR
Idaho(12/1/2015)
IAR
Idaho(12/1/2015)
RR
Illinois(12/1/2015)
RR
Kansas(2/28/2023)
RR
Nevada(12/3/2015)
RR
Oregon(12/1/2015)
RR
Utah(9/22/2023)
RR
Washington(1/8/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
