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Bradley B. Livingstone

INDEPENDENT FINANCIAL GROUP
Lucas, TX
Some features on this profile are disabled
CRD#: 3079544
BL

Professional summary

Bradley Burt Livingstone is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Lucas, Texas.

Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Bradley has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 52 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Burt Livingstone's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Bradley Burt Livingstone'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

September 16, 2020 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA
BD
CRD#: 7717
Lucas, TX
Current

September 16, 2020 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA
BD
CRD#: 7717
Lucas, TX
Past

August 19, 2016 - September 17, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PLANO, TX
Past

August 19, 2016 - September 17, 2020

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PLANO, TX
Past

March 11, 2011 - August 30, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PLANO, TX
Past

March 11, 2011 - August 30, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PLANO, TX
Past

June 1, 2009 - March 21, 2011

MORGAN STANLEY

RIA
CRD#: 149777
DALLAS, TX
Past

June 1, 2009 - March 21, 2011

MORGAN STANLEY

BD
CRD#: 149777
DALLAS, TX
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
DALLAS, TX
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
DALLAS, TX
Past

September 29, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
DALLAS, TX
Past

September 29, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
DALLAS, TX
Past

July 7, 2003 - October 4, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
DALLAS, TX
Past

March 3, 2000 - October 4, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 24, 1998 - March 28, 2000

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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
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
North Carolina
(9/18/2020)
RR
Oklahoma
(9/16/2020)
RR
Texas
(9/16/2020)
IAR
Texas
(9/16/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/3/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/31/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/27/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 8/21/1998
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC
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)
PREMIUM
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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
624

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A WRAP BROCHURE MARCH 16, 2026 (3/17/2026)
FORM ADV PART 2A MARCH 16, 2026 (3/17/2026)

Direct owners and executive officers

NamePositionCRD#
INDEPENDENT FINANCIAL GROUP, INC.OWNER
DAVIS, SCOTT EARLECFO & FINOP7160800
DENNEN, BRIANCCO BROKERAGE & ADVISORY3239786
FISCHER, DAVID ALLENMANAGING DIRECTOR1634222
HEISING, SCOTT ALLENCHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR2192259
KEEFE, KEVIN MICHAELPRESIDENT, COO1869560
KREISMAN, SARAH JILLSVP & GENERAL COUNSEL2671706
PEARSON, TROY DALEROSFP2413897

Regulatory assets under management

Total Number of Accounts54,951
AUM (Assets Under Management)$ 12,925,435,801

Disclosures

Regulatory Event15
Arbitration2
Bond1

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.

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717Lucas, TX

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