MW
Maica D. Walker
INDEPENDENT FINANCIAL GROUP
Houston, TX
Some features on this profile are disabled
CRD#: 2974676
MW
Professional summary
Maica Djehaune Walker, who also goes by Maica D Walker, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Houston, Texas.
Maica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Maica 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
Maica D Walker
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) IN VISION PUBLISHING/1/4 TIL MIDNIGHT ENT POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/30/2002 ADDRESS: 777 Preston Street, #36L, Houston TX 77002, United States DESCRIPTION: 100% OWNER OF IN VISION PUBLISHING/1/4 TIL MIDNIGHT ENT A BOOK PUBLISHING AND MARKETING COMPANY. (2) D'ACIAM, LLC POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/06/2019 ADDRESS: 777 Preston Street, #36L, Houston TX 77002, United States DESCRIPTION: 100% OWNER OF D'ACIAM, LLC A SHELL HOLDING COMPANY. (3) D ACIAM REAL ESTATE LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/24/2019 ADDRESS: 777 Preston Street, #36L, Houston TX 77002, United States DESCRIPTION: 100% OWNER OF D ACIAM REAL ESTATE LLC A SUBSIDIARY OF D ACIAM LLC WHICH PROVIDES PROPERTY MANAGEMENT SERVICES TO D'ACIAM LLC and its affiliates. (4) D'ACIAM PRIVATE WEALTH & COMMERCIAL FAMILY OFFICES, LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/26/2020 ADDRESS: 4265 San Felipe, Ste. 1100, Houston TX 77027, United States DESCRIPTION: 100% OWNER OF DBA D'ACIAM PRIVATE WEALTH and COMMERCIAL FAMILY OFFICES LLC is A SUBSIDIARY OF D'ACIAM LLC USED FOR MARKETING SECURITIES AND ADVISORY SERVICES (5) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/26/2019 ADDRESS: 4265 San Felipe, Ste. 1100, Houston TX 77027, United States DESCRIPTION: TX INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (6) MAICA D WALKER & ASSOCIATES POSITION: Officer/Director NATURE: Public Speaking INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/23/2013 ADDRESS: 777 Preston Street, #36L, Houston TX 77002, United States DESCRIPTION: 100% OWNER OF MAICA D WALKER & ASSOCIATES PROVIDING MOTIVATIONAL PUBLIC SPEAKING. (7) D ACIAM BUSINESS OPERATIONS, LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/06/2019 ADDRESS: 777 Preston Street, #36L, Houston TX 77002, United States DESCRIPTION: 100% OWNER OF D ACIAM BUSINESS, LLC A SUBSIDIARY OF D ACIAM LLC WHICH PROVIDES PAYROLL AND HR SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Maica Djehaune Walker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maica Djehaune Walker'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
October 31, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Houston, TX
Current
October 30, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Houston, TX
Past
October 25, 2019 - October 28, 2019
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Houston, TX
Past
February 22, 2013 - November 4, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HOUSTON, TX
Past
February 22, 2013 - November 4, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HOUSTON, TX
Past
July 5, 2011 - February 28, 2013
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
HOUSTON, TX
Past
May 16, 2011 - February 28, 2013
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
March 10, 1998 - May 19, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HOUSTON, TX
Past
March 2, 1998 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 2, 1998 - May 19, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HOUSTON, TX
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
Mississippi(1/9/2024)
RR
Texas(10/30/2019)
IAR
Texas(10/31/2019)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
