JW
Jay D. Wahlin
INDEPENDENT FINANCIAL GROUP
Palm Desert, CA 92260
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CRD#: 3239286
JW
Professional summary
Jay Daryl Wahlin is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Palm Desert, California.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jay has worked at 3 firms and has passed the Series 66, SIE and Series 7 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) WAHLIN WEALTH MANAGEMENT POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 07/15/1999 ADDRESS: 74075 El Paseo, Suite A2a, Palm Desert CA 92260, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (2) JAY D. WAHLIN AN ACCOUNTANCY CORPORATION POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 55 SECURITIES TRADING HOURS: 10 START DATE: 10/14/1980 ADDRESS: 74075 El Paseo, Suite A2a, Palm Desert CA 92260, United States DESCRIPTION: 100% OWNER OF JAY D. WAHLIN AN ACCOUNTANCY CORPORATION OFFERING TAX PREPARATION, ACCOUNTING SERVICES, AND TRUSTEE SERVICES (3) ESTATE OF ODILE SCHEMPP POSITION: Agent/Representative NATURE: Acting as a POA, Trustee, Executor INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2017 ADDRESS: 74075 El Paseo, Suite A2a, Palm Desert CA 92260, United States DESCRIPTION: EXECUTOR FOR ESTATE FF SCHAPP (4) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/15/1999 ADDRESS: 74075 El Paseo, Suite A2a, Palm Desert CA 92260, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODCUTS (5) WARREN LEFEVRE TRUST POSITION: Trustee NATURE: Acting as a POA, Trustee, Executor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2020 ADDRESS: 74075 El Paseo, Suite A2a, Palm Desert CA 92260, United States DESCRIPTION: TRUSTEE FOR THE WARREN LEFEVRE TRUST
CRS (Client Relationship Summary) - RIA
Click below to view Jay Daryl Wahlin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jay Daryl Wahlin'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®
NoneExperience
Current
March 4, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 74075 El Paseo Suite A2a, Palm Desert, CA 92260RIA
BD
CRD#: 7717
Palm Desert, CA
Current
March 4, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 74075 El Paseo Suite A2a, Palm Desert, CA 92260RIA
BD
CRD#: 7717
Palm Desert, CA
Past
February 4, 2000 - March 5, 2013
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
PALM DESERT, CA
Past
June 21, 1999 - March 5, 2013
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
PALM DESERT, CA
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(3/4/2013)
RR
California(3/4/2013)
IAR
California(3/4/2013)
RR
Illinois(3/4/2013)
RR
Indiana(3/4/2013)
RR
Minnesota(3/4/2013)
RR
Nevada(7/16/2019)
RR
Utah(2/3/2020)
RR
Washington(3/4/2013)
Exams
State Security Law 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Palm Desert, CA 92260TRUST BUT VERIFY
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