JL
Jonathan W. Lennox
INDEPENDENT FINANCIAL GROUP
Grapevine, TX
Some features on this profile are disabled
CRD#: 3245851
JL
Professional summary
Jonathan William Lennox, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Grapevine, Texas.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jonathan has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 31, Series 7, Series 53 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) LENNOX WEALTH STRATEGIES POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 1257 Falcon Drive, Grapevine TX 76051, United States DESCRIPTION: 100% OWNER OF LENNOX WEALTH STRATEGIES A TAX CONDUIT (2) RENTAL PROPERTY POSITION: owner of rental property NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2015 ADDRESS: 1257 Falcon Drive, Grapevine TX 76051, United States DESCRIPTION: OWNER OF RESIDENTIAL RENTAL PROPERTY (3) CATEGORY 23 HOLDINGS POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/16/2022 ADDRESS: 1257 Falcon Drive, Grapevine TX 76051, United States DESCRIPTION: HOLDING COMPANY. LAKEPOINT HOA POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2024 ADDRESS: 2425 N. Central Expwy, ste 500, richardson TX 75080, United States DESCRIPTION: board votes for repairs, landscaping contracts and added community benefits on how to use funds. RENTAL PROPERTY POSITION: owner of home and renting it out. NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2024 ADDRESS: 3544 Mercury Dr, Grapevine TX 76051, United States DESCRIPTION: Homeowner is responsible for making repairs, renter is responsible for general upkeep. RENTAL PROPERTY POSITION: owner of rental property NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2015 ADDRESS: 929 Water Oak Dr, Grapevine TX 76051, United States DESCRIPTION: (1) OWNER OF RESIDENTIAL RENTAL PROPERTY SINCE 2014. NON-INVESTMENT RELATED. 1% TIME SPENT. BUSINESS CONDUCTED AT ADDRESS IN GRAPEVINE TX.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan William Lennox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan William Lennox'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®
Experience
Current
July 17, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Grapevine, TX
Current
June 8, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Grapevine, TX
Past
May 25, 2011 - May 5, 2017
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
Addison, TX
Past
May 25, 2011 - May 5, 2017
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
ADDISON, TX
Past
September 15, 2005 - May 17, 2011
RIVERSTONE WEALTH MANAGEMENT, INC.
RIA
CRD#: 40418
GRAPEVINE, TX
Past
September 15, 2005 - May 17, 2011
RIVERSTONE WEALTH MANAGEMENT, INC.
BD
CRD#: 40418
DALLAS, TX
Past
September 27, 2001 - August 29, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CORPUS CHRIS, TX
Past
August 27, 2001 - August 29, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
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
Alabama(4/8/2024)
RR
California(6/9/2017)
RR
Colorado(9/6/2017)
RR
Florida(8/14/2017)
RR
Georgia(8/14/2017)
RR
Maryland(11/5/2020)
RR
New York(7/19/2017)
RR
Texas(7/17/2017)
IAR
Texas(7/17/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
