John M. Lord
INDEPENDENT FINANCIAL GROUP
San Diego, CA 92108
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CRD#: 3098231
Professional summary
John Marc Lord, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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) JML FINANCIAL POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2014 ADDRESS: 3111 Camino Del Rio North, 4th Floor, San Diego CA 92108, United States DESCRIPTION: 100% owner of DBA used for marketing purposes (2) JML FINANCIAL POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2023 ADDRESS: 3636 Camino Del Rio North, Ste. 170, San Diego CA 92108, United States DESCRIPTION: Tax preparation and planning (3) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2000 ADDRESS: 3111 Camino Del Rio North, 4th Floor, San Diego CA 92108, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (4) CROWN CITY RESTAURANT GROUP DBA LIBERTY CALL DISTILLING POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2020 ADDRESS: 1985 National Ave, #1131, San Diego CA 92113, United States DESCRIPTION: 50% OF RESTAURANT JML FINANCIAL POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1999 ADDRESS: 3636 Camino Del Rio North, Ste. 170, San Diego CA 92108, United States DESCRIPTION: Tax preparation and consulting
CRS (Client Relationship Summary) - RIA
Click below to view John Marc Lord's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Marc Lord'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: 2004
Experience
Current
May 16, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3636 Camino Del Rio North Ste. 170, San Diego, CA 92108RIA
BD
CRD#: 7717
San Diego, CA
Current
May 15, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3636 Camino Del Rio North Ste. 170, San Diego, CA 92108RIA
BD
CRD#: 7717
San Diego, CA
Past
March 22, 2004 - May 21, 2013
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
SAN DIEGO, CA
Past
September 15, 2003 - August 12, 2004
WEALTH ANALYTICS, INC.
RIA
CRD#: 127241
SAN DIEGO, CA
Past
January 30, 2001 - May 21, 2013
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
SAN DIEGO, CA
Past
June 17, 1999 - February 6, 2001
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, 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
Arizona(5/15/2013)
RR
California(5/15/2013)
IAR
California(5/16/2013)
RR
Colorado(5/15/2013)
RR
Florida(12/17/2014)
RR
Georgia(12/16/2013)
RR
Idaho(2/6/2017)
RR
Kansas(2/26/2020)
RR
Michigan(5/15/2013)
RR
Nevada(8/1/2014)
RR
New Jersey(5/1/2023)
RR
Ohio(1/3/2023)
RR
Pennsylvania(10/23/2025)
RR
Tennessee(8/3/2021)
RR
Texas(8/15/2025)
IAR
Texas(8/15/2025)
RR
Virginia(8/21/2024)
RR
Wisconsin(10/29/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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.
