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LG

Lauren E. Goettsche

INDEPENDENT FINANCIAL GROUP
San Diego, CA 92130
Some features on this profile are disabled
CRD#: 5168075
LG

Professional summary

Lauren Elizabeth Goettsche, who also goes by Lauren Elizabeth Slater, Lauren Slater, is a registered financial professional currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.

Lauren is registered as a RR (Registered Representative) and started their career in finance in 2013. Lauren has worked at 10 firms and has passed the SIE, Series 7, Series 99 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lauren Elizabeth Slater | Lauren Slater

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) - BD

Click below to view Lauren Elizabeth Goettsche'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

May 1, 2019 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130
RIA
BD
CRD#: 7717
San Diego, CA
Past

May 26, 2016 - October 16, 2018

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
EL SEGUNDO, CA
Past

May 26, 2016 - October 16, 2018

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL SEGUNDO, CA
Past

July 9, 2015 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
West Des Moines, IA
Past

July 9, 2015 - November 9, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
WEST DES MOINES, IA
Past

July 9, 2015 - November 2, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
W DES MOINES, IA
Past

July 9, 2015 - October 16, 2018

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
W Des Moines, IA
Past

March 15, 2013 - May 3, 2013

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

March 15, 2013 - October 16, 2018

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
W DES MOINES, IA
Past

March 14, 2013 - October 16, 2018

CETERA ADVISORS LLC

BD
CRD#: 10299
W DES MOINES, IA
Past

March 14, 2013 - October 16, 2018

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
W DES MOINES, IA

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
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/9/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 3/13/2013
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/5/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
INDEPENDENT FINANCIAL GROUP, INC.OWNER
DAVIS, SCOTT EARLECFO & FINOP7160800
DENNEN, BRIANCCO BROKERAGE & ADVISORY3239786
FISCHER, DAVID ALLENMANAGING DIRECTOR1634222
HEISING, SCOTT ALLENCHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR2192259
KEEFE, KEVIN MICHAELPRESIDENT, COO1869560
KREISMAN, SARAH JILLSVP & GENERAL COUNSEL2671706
PEARSON, TROY DALEROSFP2413897

Regulatory assets under management

Total Number of Accounts44,046
AUM (Assets Under Management)$ 11,322,059,063

Disclosures

Regulatory Event15
Arbitration2
Bond1

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

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717San Diego, CA 92130

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