JD
Jon B. Dixon
INDEPENDENT FINANCIAL GROUP
Birmingham, AL 35242
Some features on this profile are disabled
CRD#: 4789410
JD
Professional summary
Jon Benjamin Dixon, who also goes by Ben Dixon, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Birmingham, Alabama.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jon has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben 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) KEYSTONE FINANCIAL SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2023 ADDRESS: 2 Perimeter Park South, Suite 140e, Birmingham AL 35243, United States DESCRIPTION: DBA Name for Marketing Purposes. (2) MURPHY MEADOWS POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2022 ADDRESS: 2 Perimeter Park South, Suite 140e, Birmingham AL 35243, United States DESCRIPTION: OUTSIDE INSURANCE RAMSEY MASTER FINANCIAL COACH POSITION: Independent Contractor NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/14/2025 ADDRESS: 44 Inverness Center Park, Suite 100, Birmingham AL 35242, United States DESCRIPTION: Once I take the classes, which usually take about 8 weeks, I will be providing people with advice and the steps on how to become financially independent, get out of debt, and stay out of debt. Referrals will come from people who go onto the Ramsey Solutions website and look for a trusted local provider in my area.
CRS (Client Relationship Summary) - RIA
Click below to view Jon Benjamin Dixon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jon Benjamin 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
February 1, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 44 Inverness Center Park Suite 100, Birmingham, AL 35242RIA
BD
CRD#: 7717
Birmingham, AL
Current
February 1, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 44 Inverness Center Park Suite 100, Birmingham, AL 35242RIA
BD
CRD#: 7717
Birmingham, AL
Past
October 12, 2015 - February 3, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Birmingham, AL
Past
October 12, 2015 - February 3, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Birmingham, AL
Past
August 8, 2011 - October 13, 2015
RFG ADVISORY, LLC
RIA
CRD#: 158401
BIRMINGHAM, AL
Past
August 8, 2011 - October 21, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
VESTAVIA HILLS, AL
Past
November 15, 2004 - August 8, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
BIRMINGHAM, AL
Past
September 23, 2004 - August 8, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BIRMINGHAM, AL
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
Alabama(2/1/2023)
IAR
Alabama(2/1/2023)
RR
Georgia(2/1/2023)
RR
Louisiana(2/1/2023)
RR
South Carolina(2/1/2023)
RR
Texas(2/1/2023)
IAR
Texas(2/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 7717Birmingham, AL 35242TRUST BUT VERIFY
Monitor Jon Dixon
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
