John R. Mata

INDEPENDENT FINANCIAL GROUP

Santa Barbara, CA 93101

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CRD#: 4155257

Professional summary

John Raymond Mata, who also goes by John R. Mata, is a registered financial professional currently at INDEPENDENT FINANCIAL GROUP, LLC located in Santa Barbara, California.

John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John R. Mata

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) - BD

Click below to view John Raymond Mata'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

December 17, 2021 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 7 W Figueroa Street #308, Santa Barbara, CA 93101Office #2: 21 Waterway Avenue #300, The Woodlands, TX 77380Office #3: 400 Continental Blvd 6th Floor, El Segundo, CA 90245

RIA

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

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.

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

Arizona
(12/17/2021)

Arkansas
(12/17/2021)

California
(12/17/2021)

Colorado
(12/17/2021)

Florida
(12/17/2021)

Georgia
(12/22/2021)

Idaho
(12/21/2022)

Iowa
(12/17/2021)

Louisiana
(8/30/2023)

Maryland
(12/17/2021)

Missouri
(12/17/2021)

Nevada
(12/17/2021)

Oklahoma
(12/17/2021)

Oregon
(8/30/2023)

South Carolina
(12/17/2021)

South Dakota
(12/17/2021)

Tennessee
(12/17/2021)

Texas
(12/17/2021)

Washington
(12/17/2021)

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.

Exams

State Security Law Exam

Series 63

Date: 11/13/2000

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: 6/28/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/29/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/18/2004

General Securities Sales Supervisor - General Module 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

622

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 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

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.

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John R. Mata

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Raymond Mata's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

KAISER AND COMPANY

NEXT FINANCIAL GROUP, INC.

CHASE INVESTMENT SERVICES CORP.

AMERIPRISE ADVISOR SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

AMERIPRISE ADVISOR SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/13/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/28/2000

Series 9

Date: 3/29/2005

Series 10

Date: 5/18/2004

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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