LH
Lee L. Heyde
INDEPENDENT FINANCIAL GROUP
Warsaw, IN 46580
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CRD#: 4602062
LH
Professional summary
Lee L Heyde is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Warsaw, Indiana.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Lee has worked at 3 firms and has passed the Series 63, 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) HEYDE LAW OFFICES, PC POSITION: Officer/Director NATURE: Attorney, Legal Services INVESTMENT RELATED: No NUMBER OF HOURS: 48 SECURITIES TRADING HOURS: 48 START DATE: 11/30/1998 ADDRESS: 1822 East Center Street, Warsaw IN 46580, United States DESCRIPTION: 100% OWNER OF HEYDE LAW OFFICES, PC PROVIDING LEGAL SERVICES (2) PEARL FINANCIAL INC- A MEMBER OF THE HEYDE GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/22/2011 ADDRESS: 1822 E. Center St., Warsaw IN 46580, United States DESCRIPTION: 10% PASSIVE OWNER OF DBA PEARL FINANCIAL INC USED FOR MARKETING SECURITIES AND ADVISORY SERVICES (3) HEYDE & ASSOCIATES PC POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 06/17/1997 ADDRESS: 1822 East Center Street, Warsaw IN 46580, United States DESCRIPTION: 100% OWNER OF HEYDE & ASSOCIATES PC PROVIDING TAX PREP AND BOOKKEEPING SERVICES (4) HEYDE FAMILY LP POSITION: Manager of the LLC general partner NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/24/1995 ADDRESS: 3250 E Wilcox Rd, Warsaw IN 46580, United States DESCRIPTION: 22% PASSIVE OWNER OF HEYDE FAMILY LP A FAMILY-OWNED FARMING PARTNERSHIP (5) HEYDE ENTERPRISES LLC POSITION: Member manager NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/12/2005 ADDRESS: 3250 E Wilcox Rd, Warsaw IN 46580, United States DESCRIPTION: 1% OWNER OF HEYDE ENTERPRISES LLC THE GENERAL PARTNER FOR HEYDE FAMILY LP (6) THE HEYDE GROUP LLC POSITION: Manager NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/28/2003 ADDRESS: 1822 East Center Street, Warsaw IN 46580, United States DESCRIPTION: MANAGER AT "THE HEYDE GROUP" PROVIDING ADMIN SERVICES TO HEYDE LAW OFFICES, HEYDE & ASSOCIATES, AND PEARL FINANCIAL INC. (7) THG CLIENT ACCOUNTING SERVICES, INC. POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2023 ADDRESS: 213 Oak Street, Salinas CA 93901-4111, United States DESCRIPTION: Accounting and tax preparation services. (8) PR ESTATE OF PATRICIA L. HEYDE POSITION: Co-Personal Representative of the Estate of Patricia L. Heyde with Jane L. Coplen as Co-PR. Patricia L. Heyde is the mother of both Co-PRs. NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 12/28/2023 ADDRESS: 1822 East Center Street, Warsaw IN 46580, United States DESCRIPTION: Legatee of mother's estate receiving a 20% interest in the estate.
CRS (Client Relationship Summary) - RIA
Click below to view Lee L Heyde's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lee L Heyde'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
September 19, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1822 E. Center St., Warsaw, IN 46580RIA
BD
CRD#: 7717
Warsaw, IN
Current
September 19, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1822 E. Center St., Warsaw, IN 46580RIA
BD
CRD#: 7717
Warsaw, IN
Past
June 30, 2004 - October 8, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
WARSAW, IN
Past
July 28, 2003 - October 8, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
WARSAW, IN
Past
February 13, 2002 - July 18, 2003
HEYDE & ASSOCIATES, PC
RIA
CRD#: 122514
WARSAW, IN
Past
October 8, 1999 - December 31, 2002
HEYDE & ASSOCIATES, PC
RIA
CRD#: 122514
WARSAW, IN
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(1/10/2023)
RR
Colorado(10/20/2022)
RR
Indiana(9/19/2019)
IAR
Indiana(9/19/2019)
RR
Ohio(9/24/2025)
RR
Texas(10/7/2025)
IAR
Texas(10/8/2025)
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.
