Erick A. Montiel

INDEPENDENT FINANCIAL GROUP

SAN DIEGO, CA 92130

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CRD#: 3126537

Professional summary

Erick Alberto Montiel is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.

Erick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Erick has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

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 Erick Alberto Montiel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Erick Alberto Montiel'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 6, 2022 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130

RIA

CRD#: 7717

SAN DIEGO, CA

Current

September 6, 2022 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130

RIA

CRD#: 7717

SAN DIEGO, CA

Past

October 25, 2018 - June 14, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Irvine, CA

Past

June 15, 2015 - June 14, 2022

MORGAN STANLEY

CRD#: 149777

Irvine, CA

Past

July 6, 2011 - October 23, 2013

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

December 11, 2008 - July 29, 2011

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

March 26, 2007 - December 2, 2008

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

January 21, 2002 - March 12, 2007

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

October 20, 1998 - September 11, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

California
(9/6/2022)

IAR

California
(9/6/2022)

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 65

Date: 10/25/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/1998

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

624

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

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

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.

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Advisor Monitoring

Firm Stability Insights

Erick A. Montiel

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erick Alberto Montiel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Erick Alberto Montiel's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

MORGAN STANLEY

MORGAN STANLEY

COREBRIDGE CAPITAL SERVICES, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

EQUITABLE DISTRIBUTORS, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/2018

Series 63

Date: 10/16/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/7/1998

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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