WS
William C. Steward
INDEPENDENT FINANCIAL GROUP
Scottsdale, AZ 85258
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CRD#: 3019465
WS
Professional summary
William C Steward, who also goes by Bill Dejong, William Carver Steward, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Scottsdale, Arizona.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. William has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51, Series 24 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Dejong | William Carver Steward
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.
CRS (Client Relationship Summary) - RIA
Click below to view William C Steward's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William C Steward'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
July 20, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 8777 N. Gainey Center Drive Ste. 161, Scottsdale, AZ 85258RIA
BD
CRD#: 7717
Scottsdale, AZ
Current
July 20, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 8777 N. Gainey Center Drive Ste. 161, Scottsdale, AZ 85258RIA
BD
CRD#: 7717
Scottsdale, AZ
Past
June 15, 2017 - July 26, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
TEMPE, AZ
Past
June 15, 2017 - July 26, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
TEMPE, AZ
Past
March 25, 2017 - June 9, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
TEMPE, AZ
Past
March 25, 2017 - June 9, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
TEMPE, AZ
Past
March 9, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
TEMPE, AZ
Past
January 6, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
TEMPE, AZ
Past
June 25, 1998 - April 19, 2010
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
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(7/20/2018)
IAR
Arizona(7/20/2018)
Exams
State Security Law Exam
State Security Law 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
624
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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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.
