PS
Peter F. Stratton
INDEPENDENT FINANCIAL GROUP
San Diego, CA 92121
Some features on this profile are disabled
CRD#: 3276839
PS
Professional summary
Peter Francis Stratton is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Peter has worked at 4 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) STRATTON & ASSOCIATES ACCOUNTANCY CORPORATION POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 70 START DATE: 01/01/1990 ADDRESS: 5665 Oberlin Dr., Ste. 200, San Diego CA 92121, United States DESCRIPTION: 100% OWNER OF CPA FIRM PROVIDING TAX AND ACCOUNTING SERVICES (2) STRATTON WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2000 ADDRESS: 5665 Oberlin Dr., Ste. 200, San Diego CA 92121, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (3) PETER STRATTON POSITION: Trustee NATURE: Acting as a POA, Trustee, Executor. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/12/2022 ADDRESS: 5677 Oberlin Dr., Ste. 114, San Diego CA 92121, United States DESCRIPTION: Trustee for Anthony Lienau Family Trust as a favor to the Lienau Family. They are tax clients. They are not financial clients. Very minimal activity at no fee.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Francis Stratton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Francis Stratton'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
December 24, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 5230 Carroll Canyon Rd. Ste. 200, San Diego, CA 92121RIA
BD
CRD#: 7717
San Diego, CA
Current
December 21, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 5230 Carroll Canyon Rd. Ste. 200, San Diego, CA 92121RIA
BD
CRD#: 7717
San Diego, CA
Past
October 13, 2016 - December 27, 2018
UNION CAPITAL COMPANY
RIA
CRD#: 110301
San Diego, CA
Past
October 12, 2016 - December 27, 2018
UNION CAPITAL COMPANY
BD
CRD#: 110301
San Diego, CA
Past
October 19, 2000 - October 6, 2016
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
SAN DIEGO, CA
Past
August 23, 1999 - October 6, 2016
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SAN DIEGO, 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
California(12/21/2018)
IAR
California(12/24/2018)
RR
Florida(12/21/2018)
RR
Pennsylvania(10/9/2025)
RR
Utah(6/1/2021)
RR
Washington(12/21/2018)
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.
