Susan A. Schaufele

INDEPENDENT FINANCIAL GROUP

Westlake, OH 44145

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CRD#: 3042775

Professional summary

Susan Anne Schaufele, who also goes by Susan Ann Lombardo, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Westlake, Ohio.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Susan has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Ann Lombardo

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 Susan Anne Schaufele's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Susan Anne Schaufele'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

November 29, 2016 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 159 Crocker Park Blvd #400, Westlake, OH 44145

RIA

CRD#: 7717

Westlake, OH

Current

November 29, 2016 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 159 Crocker Park Blvd #400, Westlake, OH 44145

RIA

CRD#: 7717

Westlake, OH

Past

September 3, 2015 - November 29, 2016

FOOTHILL SECURITIES, INC.

RIA

CRD#: 1027

Westlake, OH

Past

September 2, 2015 - November 29, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

Westlake, OH

Past

March 11, 2009 - August 14, 2015

FINTEGRA, LLC

RIA

CRD#: 16741

BEACHWOOD, OH

Past

March 10, 2009 - August 14, 2015

FINTEGRA, LLC

CRD#: 16741

BEACHWOOD, OH

Past

June 28, 2006 - March 2, 2009

SANDERS MORRIS LLC

RIA

CRD#: 20580

BEACHWOOD, OH

Past

December 19, 2005 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

FORT WORTH, TX

Past

December 13, 2005 - March 2, 2009

SANDERS MORRIS LLC

CRD#: 20580

BEACHWOOD, OH

Past

November 4, 2003 - December 14, 2005

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

BEACHWOOD, OH

Past

January 29, 2003 - December 14, 2005

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

August 14, 2001 - January 21, 2003

ADVEST, INC.

CRD#: 10

HARTFORD, CT

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

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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.

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

Ohio
(11/29/2016)

IAR

Ohio
(11/29/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/29/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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)

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

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.

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Firm Stability Insights

Susan A. Schaufele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Anne Schaufele's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Susan Anne Schaufele's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

FINTEGRA, LLC

FINTEGRA, LLC

SANDERS MORRIS LLC

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

ADVEST, INC.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/29/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/13/2001

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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