JD
John C. Dixon
INDEPENDENT FINANCIAL GROUP
Pocatello, ID 83201
Some features on this profile are disabled
CRD#: 4239339
JD
Professional summary
John Charles Dixon, who also goes by John C Dixon, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Pocatello, Idaho.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John C Dixon
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) JOHN C. DIXON POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/23/2009 ADDRESS: 611 Wilson, Ste. 4c, Pocatello ID 83201, United States DESCRIPTION: Insurance Agent (2) GLOBAL WEALTH MANAGEMENT POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 12/05/2008 ADDRESS: 611 Wilson, Ste. 4c, Pocatello ID 83201, United States DESCRIPTION: 100% owner of DBA used for marketing purposes (3) ALTIUS FINANCIAL GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/11/2021 ADDRESS: 611 Wilson, Ste. 4c, Pocatello ID 83201, United States DESCRIPTION: 100% owner of DBA used for marketing purposes
CRS (Client Relationship Summary) - RIA
Click below to view John Charles Dixon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Charles Dixon'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
November 5, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 611 Wilson Ste. 4c, Pocatello, ID 83201Office #2: 3300 N Triumph Blvd #257, Lehi, UT 84043RIA
BD
CRD#: 7717
Pocatello, ID
Current
November 5, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 611 Wilson Ste. 4c, Pocatello, ID 83201Office #2: 3300 N Triumph Blvd #257, Lehi, UT 84043RIA
BD
CRD#: 7717
Pocatello, ID
Past
July 12, 2007 - November 11, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
POCATELLO, ID
Past
January 29, 2007 - May 31, 2007
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
HEBER, UT
Past
January 24, 2007 - May 31, 2007
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
HEBER, UT
Past
January 4, 2007 - November 11, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
POCATELLO, ID
Past
March 1, 2006 - June 29, 2006
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
CHUBBUCK, ID
Past
February 13, 2006 - June 29, 2006
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CHUBBUCK, ID
Past
August 4, 2004 - February 28, 2006
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
July 16, 2003 - February 27, 2004
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
TOOELE, UT
Past
June 9, 2003 - February 27, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
January 13, 2003 - March 28, 2003
WADDELL & REED
RIA
CRD#: 866
TWIN FALLS, ID
Past
November 8, 2002 - March 28, 2003
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
July 22, 2002 - October 23, 2002
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
September 26, 2000 - August 8, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Idaho(11/5/2020)
IAR
Idaho(11/5/2020)
RR
Louisiana(11/5/2020)
RR
Nevada(11/5/2020)
RR
Utah(11/5/2020)
RR
Washington(11/5/2020)
Exams
State Security Law Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 7717Pocatello, ID 83201TRUST BUT VERIFY
Monitor John Dixon
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
