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Troy D. Folk
INDEPENDENT FINANCIAL GROUP
Los Angeles, CA 90041
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CRD#: 4806471
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Professional summary
Troy Dean Folk, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Los Angeles, California.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Troy has worked at 2 firms and has passed the Series 66, 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) TROY FOLK, CFP, EA POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2014 ADDRESS: 825 Colorado Blvd., Suite 201, Los Angeles CA 90041, United States DESCRIPTION: 100% OWNER OF TROY FOLK, CFP OFFERING TAX PREPARATION AND ANALYSIS AND FIXED INSURANCE. (2) STONEKIMBRO FINANCIAL SERVICES POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 10 START DATE: 10/27/2020 ADDRESS: 825 Colorado Blvd., Suite 201, Los Angeles CA 90041, United States DESCRIPTION: REGISTERED REPRESENTATIVE AT DBA STONEKIMBRO FINANCIAL SERVICES USED FOR MARKETING PURPOSES. (3) TROY FOLK, CFP, EA (INSURANCE) POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2013 ADDRESS: 825 Colorado Blvd., Suite 201, Los Angeles CA 90041, United States DESCRIPTION: INSURANCE AGENT OFFERING VARIOUS INSURANCE PRODUCTS. (4) TROY FOLK, CFP, EA (Notary) POSITION: Officer/Director NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2013 ADDRESS: 825 Colorado Blvd., Suite 201, Los Angeles CA 90041, United States DESCRIPTION: Notary public (5) STONEKIMBRO POSITION: Independent Contractor NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/23/2022 ADDRESS: 825 Colorado Blvd., Suite 201, Los Angeles CA 90041, United States DESCRIPTION: Financial Advisor for RIA
CRS (Client Relationship Summary) - RIA
Click below to view Troy Dean Folk's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Troy Dean Folk'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®
CFP®
Start date: 2007
Experience
Current
June 25, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 825 Colorado Blvd. Suite 201, Los Angeles, CA 90041Office #2: 940 South Coast Drive Suite 125, Costa Mesa, CA 92626RIA
BD
CRD#: 7717
Los Angeles, CA
Current
June 7, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 825 Colorado Blvd. Suite 201, Los Angeles, CA 90041Office #2: 940 South Coast Drive Suite 125, Costa Mesa, CA 92626RIA
BD
CRD#: 7717
Los Angeles, CA
Past
March 9, 2022 - June 19, 2025
STONEKIMBRO
RIA
CRD#: 317356
COSTA MESA, 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(8/28/2018)
RR
California(6/25/2013)
IAR
California(6/25/2013)
RR
Colorado(1/18/2022)
RR
Florida(8/23/2023)
RR
Georgia(2/23/2021)
RR
Hawaii(1/24/2025)
RR
Idaho(5/5/2020)
RR
Indiana(6/9/2014)
RR
Nevada(8/5/2014)
RR
North Carolina(12/7/2018)
RR
Pennsylvania(10/17/2022)
RR
Tennessee(7/23/2015)
RR
Texas(6/12/2025)
IAR
Texas(6/12/2025)
RR
Washington(11/29/2023)
RR
Wisconsin(5/5/2022)
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.
