BC
Brett R. Clarke
INDEPENDENT FINANCIAL GROUP
Oceanside, CA 92056
Some features on this profile are disabled
CRD#: 4777354
BC
Professional summary
Brett Richard Clarke is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Oceanside, California.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brett has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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) CLARKE FINANCIAL SERVICES, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: 3720 Oceanic Way, Suite 208, Oceanside CA 92056, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (2) CLARKE FINANCIAL SERVICES, INC. POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: 3720 Oceanic Way, Suite 208, Oceanside CA 92056, United States DESCRIPTION: 100% OWNER OF CLARKE FINANCIAL SERVICES, INC. PROVIDING TAX PREPARATION (3) ADP PAYROLL SERVICES POSITION: Independent Contractor NATURE: Referral Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 3720 Oceanic Way, Suite 208, Oceanside CA 92056, United States DESCRIPTION: INDEPENDENT CONTRACTOR THROUGH ADP PAYROLL SERVICES PROVIDING PAYROLL REFERRALS (4)CLARKE FINANCIAL SERVICES POSITION: Officer/Director NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/03/2022 ADDRESS: 3720 Oceanic Way, Suite 208, Oceanside CA 92056, United States DESCRIPTION: I notarize documents if a client needs it. I do not charge for this service.
CRS (Client Relationship Summary) - RIA
Click below to view Brett Richard Clarke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brett Richard Clarke'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 18, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3642 Ocean Ranch Blvd, Oceanside, CA 92056RIA
BD
CRD#: 7717
Oceanside, CA
Current
November 18, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3642 Ocean Ranch Blvd, Oceanside, CA 92056RIA
BD
CRD#: 7717
Oceanside, CA
Past
June 14, 2012 - November 23, 2015
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
OCEANSIDE, CA
Past
June 12, 2012 - November 23, 2015
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
OCEANSIDE, CA
Past
August 10, 2010 - June 13, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
OCEANSIDE, CA
Past
August 10, 2010 - June 13, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
OCEANSIDE, CA
Past
August 17, 2007 - August 20, 2010
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SAN MARCOS, CA
Past
August 17, 2007 - August 20, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SAN MARCOS, CA
Past
January 9, 2007 - August 22, 2007
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SAN DIEGO, CA
Past
March 30, 2004 - August 22, 2007
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
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
Arizona(11/18/2015)
RR
California(11/18/2015)
IAR
California(11/19/2015)
RR
Delaware(1/27/2023)
RR
Florida(1/4/2016)
RR
Hawaii(12/20/2023)
RR
Idaho(9/14/2016)
RR
Illinois(8/19/2019)
RR
Maryland(6/14/2023)
RR
Minnesota(7/17/2025)
RR
Montana(5/12/2025)
RR
Nevada(10/21/2016)
RR
New York(12/20/2022)
RR
North Carolina(11/18/2022)
RR
Oregon(11/18/2015)
RR
South Carolina(1/18/2017)
RR
Tennessee(5/8/2025)
RR
Texas(10/8/2020)
IAR
Texas(10/8/2020)
RR
Virginia(11/18/2015)
RR
Washington(6/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
