James A. Franklin

INDEPENDENT FINANCIAL GROUP

Houston, TX 77070

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CRD#: 4799613

Professional summary

James A Franklin, who also goes by Jim Franklin, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Franklin

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) - RIA

Click below to view James A Franklin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James A Franklin'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

June 7, 2023 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 8300 Fm 1960 West Suite 450, Houston, TX 77070

RIA

CRD#: 7717

Houston, TX

Current

June 7, 2023 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 8300 Fm 1960 West Suite 450, Houston, TX 77070

RIA

CRD#: 7717

Houston, TX

Past

February 8, 2019 - June 8, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

HOUSTON, TX

Past

February 8, 2019 - June 8, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HOUSTON, TX

Past

March 15, 2017 - February 11, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

HOUSTON, TX

Past

March 15, 2017 - February 11, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

HOUSTON, TX

Past

October 3, 2016 - March 17, 2017

CETERA ADVISORS LLC

RIA

CRD#: 10299

TOMBALL, TX

Past

October 3, 2016 - March 17, 2017

CETERA ADVISORS LLC

CRD#: 10299

TOMBALL, TX

Past

September 30, 2010 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

HOUSTON, TX

Past

September 30, 2010 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

HOUSTON, TX

Past

January 11, 2008 - September 22, 2010

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

HENDERSON, NV

Past

January 11, 2008 - September 22, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HENDERSON, NV

Past

February 8, 2007 - January 11, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAS VEGAS, NV

Past

August 27, 2004 - January 18, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAS VEGAS, NV

Past

August 2, 2004 - January 11, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAS VEGAS, NV

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arkansas
(2/26/2025)

California
(6/7/2023)

Nevada
(6/7/2023)

Texas
(6/7/2023)

IAR

Texas
(6/7/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/26/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/30/2004

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

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.

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Firm Stability Insights

James A. Franklin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James A Franklin's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James A Franklin's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2004

SIE

Date: 10/1/2018

Series 7

Date: 7/30/2004

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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