PB
Peter N. Blok
INDEPENDENT FINANCIAL GROUP
Exton, PA 19341
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CRD#: 3023989
PB
Professional summary
Peter Neil Blok, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Exton, Pennsylvania.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Peter has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) BLOK FINANCIAL POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/01/2010 ADDRESS: 243 West Lincoln Highway, Exton PA 19341, United States DESCRIPTION: 100% OWNER OF DBA USED TO MARKET SECURITIES, ADVISORY, AND INSURANCE BUSINESS. (2) RENTAL PROPERTY POSITION: Landlord NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2017 ADDRESS: 640 Norwood Road, Downingtown PA 19335, United States DESCRIPTION: OWNER OF RESIDENTIAL RENTAL PROPERTY SINCE (3) BARNHILL STRATAGIES LTD POSITION: Partial owner NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/12/2017 ADDRESS: 640 Norwood Road, Downingtown PA 19335, United States DESCRIPTION: 20% PASSIVE OWNER OF BARNHILL STRATEGIES LTD FINTECH INDUSTRY (4) BLOK FINANCIAL LLC - INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2010 ADDRESS: 243 West Lincoln Highway, Exton PA 19341, United States DESCRIPTION: Insurance sales outside of IFG ARBOR WEALTH PARTNERS POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/26/2025 ADDRESS: 243 West Lincoln Highway, Exton PA 19341, United States DESCRIPTION: This DBA is purely being used to market to clients acquired from Chris Gleason, a retiring IFG Rep located in CT. We (Jim Fahy and I) will be acting as registered reps and IAR's as we create financial plans and manage investment assets. Services will be similar to those I currently offer to my clients under my DBA of Blok Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Neil Blok's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Neil Blok'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®
CFP®
Start date: 2010
Experience
Current
October 31, 2014 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 243 West Lincoln Highway, Exton, PA 19341RIA
BD
CRD#: 7717
Exton, PA
Current
October 31, 2014 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 243 West Lincoln Highway, Exton, PA 19341RIA
BD
CRD#: 7717
Exton, PA
Past
April 9, 2010 - October 31, 2014
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
DOWNINGTOWN, PA
Past
February 2, 2007 - April 8, 2010
AMBROSE WEALTH MANAGEMENT
RIA
CRD#: 108395
CHADDS FORD, PA
Past
June 20, 2006 - October 31, 2014
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
DOWNINGTOWN, PA
Past
December 17, 2004 - May 15, 2006
DUNHAM
BD
CRD#: 13162
SAN DIEGO, CA
Past
April 26, 1999 - December 16, 2004
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
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(8/25/2020)
RR
California(10/31/2014)
RR
Colorado(7/8/2021)
RR
Connecticut(10/31/2014)
RR
Delaware(10/31/2014)
RR
Florida(10/31/2014)
RR
Hawaii(6/6/2022)
RR
Maryland(10/31/2014)
RR
Michigan(6/26/2018)
RR
Nevada(2/24/2015)
RR
New Jersey(10/31/2014)
RR
New York(10/31/2014)
RR
North Carolina(7/21/2015)
RR
Pennsylvania(10/31/2014)
IAR
Pennsylvania(10/31/2014)
RR
Rhode Island(5/14/2025)
RR
South Carolina(1/19/2021)
RR
Utah(5/18/2021)
RR
Vermont(5/14/2025)
RR
Virginia(1/15/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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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.
