KC
Kelly H. Clyde
INDEPENDENT FINANCIAL GROUP
San Clemente, CA 92672
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CRD#: 4825839
KC
Professional summary
Kelly H Clyde, CFP®, who also goes by Kelly H. Clyde Mr., Kelly H. Clyde, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Clemente, California.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kelly has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelly H. Clyde Mr. | Kelly H. Clyde
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kelly H Clyde's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kelly H Clyde'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: 2021
Experience
Current
July 21, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1520 N El Camino Real Unit 1, San Clemente, CA 92672RIA
BD
CRD#: 7717
San Clemente, CA
Current
July 16, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1520 N El Camino Real Unit 1, San Clemente, CA 92672RIA
BD
CRD#: 7717
San Clemente, CA
Past
August 9, 2005 - August 13, 2009
MCL FINANCIAL GROUP, INC.
BD
CRD#: 41180
SANTA ANA, CA
Past
October 25, 2004 - July 22, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SANTA ANA, CA
Past
September 2, 2004 - July 22, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(7/16/2009)
RR
California(7/16/2009)
IAR
California(7/21/2009)
RR
Colorado(9/24/2020)
RR
Connecticut(9/28/2023)
RR
District of Columbia(8/26/2021)
RR
Florida(8/26/2021)
RR
Georgia(8/26/2021)
RR
Idaho(10/2/2014)
RR
Illinois(8/26/2021)
RR
Indiana(9/28/2023)
RR
Iowa(6/17/2024)
RR
Kansas(8/29/2024)
RR
Maryland(7/21/2025)
RR
Massachusetts(7/21/2025)
RR
Michigan(8/26/2021)
RR
Nebraska(8/26/2021)
RR
Nevada(1/29/2018)
RR
New Mexico(9/16/2024)
RR
New York(2/3/2015)
RR
North Carolina(8/27/2021)
RR
Oregon(9/2/2021)
RR
South Carolina(8/26/2021)
RR
Tennessee(9/26/2018)
RR
Texas(7/16/2009)
IAR
Texas(11/12/2020)
RR
Utah(8/26/2021)
RR
Vermont(7/21/2025)
RR
Washington(3/10/2010)
RR
West Virginia(7/21/2025)
Exams
State Security Law Exam
General Industry/Product 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)
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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
624
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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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.
