Stewart Ginn

INDEPENDENT FINANCIAL GROUP

Santa Maria, CA 93455

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CRD#: 4503197

Professional summary

Stewart Ginn was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stewart Ginn, who also goes by Stewart Taylor, Paxton Ginn Jr., is a registered financial professional currently at INDEPENDENT FINANCIAL GROUP, LLC located in Santa Maria, California.

Stewart is registered as a RR (Registered Representative) and started their career in finance in 2002. Stewart has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stewart Taylor, Paxton Ginn Jr.

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 Stewart Ginn'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

September 3, 2015 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 2646 Santa Maria Way Suite 104, Santa Maria, CA 93455Office #2: 600 S. Cherry Street #226, Denver, CO 80246

RIA

CRD#: 7717

Santa Maria, CA

Past

February 18, 2021 - March 10, 2023

NAVIAN CAPITAL SECURITIES LLC

CRD#: 145037

CINCINNATI, OH

Past

February 13, 2009 - September 10, 2015

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

NEW YORK, NY

Past

September 27, 2005 - February 20, 2009

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

CHICAGO, IL

Past

November 20, 2002 - September 28, 2005

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

March 6, 2002 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/14/2002

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: 3/5/2002

General Securities Representative 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Stewart Ginn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stewart Ginn's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAVIAN CAPITAL SECURITIES LLC

NEWBRIDGE SECURITIES CORPORATION

CHICAGO INVESTMENT GROUP, LLC

LADENBURG THALMANN & CO. INC.

LADENBURG CAPITAL MANAGEMENT INC.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/2002

SIE

Date: 10/1/2018

Series 7

Date: 3/5/2002

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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