MS
Matthew C. Sessa
INDEPENDENT FINANCIAL GROUP
Lancaster, CA 93534
Some features on this profile are disabled
CRD#: 4785616
MS
Professional summary
Matthew Caine Sessa, who also goes by Matt Sessa, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Lancaster, California.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Matthew has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Sessa
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) START DATE 02/2013 I'M AN EMPLOYEE OF TIMOTHY HAYES FINANCIAL & INSURANCE SERVICES. I DEVOTE 128 HRS/MO (80 HRS DURING TRADING) TO THIS INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE CUSTOMER SERVICE, OFFICE MANAGEMENT, INVESTMENT ADVICE, FINANCIAL PLANNING & PROJECT MANAGEMENT. (2) START DATE 10/2015 I'M AN INDEPENDENT CONTRACTOR/AGENT FOR HEALTH INSURANCE. I DEVOTE 2 HRS/MO TO THIS NON-INVESTMENT RELATED ACTIVITY, MY DUTIES ARE INSURANCE SALES. (3) START DATE 10/2015 I'M SELF EMPLOYED AS A PUBLIC NOTARY. I DEVOTE 2 HRS/MO TO THIS NON-INVESTMENT RELATED ACTIVITY. (4) START DATE 01/2018, I WILL DEVOTE 10 HRS/MO AS TAX PREPARER /ENROLLED AGENT. THIS IS NOT AN INVESTMENT RELATED ACTIVITY, I WILL BE PREPARING TAXES. BUSINESS ADDRESS FOR ALL OF ABOVE IS THE SAME AS BRANCH (2) CA INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/10/2004 ADDRESS: 1210 West Avenue J, Suite 300, Lancaster CA 93534, United States DESCRIPTION: Sales: health insurance, life insurance, fixed annuities, fixed indexed annuities, long term care, covered California. (3) ENROLLED AGENT POSITION: Independent Contractor NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 05/17/2017 ADDRESS: 1210 West Avenue J, Suite 300, Lancaster CA 93534, United States DESCRIPTION: Tax prep and advice. (4) NOTARY PUBLIC POSITION: Independent Contractor NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/27/2016 ADDRESS: 1210 West Avenue J, Suite 300, Lancaster CA 93534, United States DESCRIPTION: Notarial acknowledgement and jurats, loan signings, etc. (5) TIMOTHY HAYES FINANCIAL & INVESTMENT SERVICES INC. POSITION: Employee NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 32 START DATE: 05/15/2013 ADDRESS: 1210 West Avenue J, Suite 300, Lancaster CA 93534, United States DESCRIPTION: Clerical - Filing, Scanning, Answering phones and scheduling.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Caine Sessa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Caine Sessa'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
February 2, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1210 West Avenue J Suite 300, Lancaster, CA 93534RIA
BD
CRD#: 7717
Lancaster, CA
Current
February 2, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1210 West Avenue J Suite 300, Lancaster, CA 93534RIA
BD
CRD#: 7717
Lancaster, CA
Past
January 30, 2014 - February 9, 2024
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
LANCASTER, CA
Past
May 14, 2013 - February 9, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
LANCASTER, CA
Past
March 20, 2007 - June 27, 2007
WAMU INVESTMENTS, INC.
BD
CRD#: 599
SAN LUIS OBISPO, CA
Past
June 7, 2004 - December 31, 2005
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, 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(1/14/2025)
RR
California(2/2/2024)
IAR
California(2/2/2024)
RR
Colorado(2/2/2024)
RR
Idaho(7/17/2024)
RR
Mississippi(1/14/2025)
RR
Missouri(1/14/2025)
RR
Nevada(1/14/2025)
RR
Oregon(1/22/2025)
RR
Texas(3/12/2024)
RR
Washington(1/14/2025)
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.
