KM
Kristin H. Mata
INDEPENDENT FINANCIAL GROUP
Santa Barbara, CA 93101
Some features on this profile are disabled
CRD#: 5223095
KM
Professional summary
Kristin Holly Mata, who also goes by Kristin Holly Maia, Kristin H Mata, Kristin Holly Pedersen, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Santa Barbara, California.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Kristin has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristin Holly Maia | Kristin H Mata | Kristin Holly Pedersen
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) INTEGRITY WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2021 ADDRESS: 21 Waterway Avenue #300, The Woodlands TX 77380, United States DESCRIPTION: 50% owner of DBA used for marketing purposes (2) NOTARY POSITION: Agent/Representative NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2021 ADDRESS: 21 Waterway Avenue #300, The Woodlands TX 77380, United States DESCRIPTION: Notarize documents
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Holly Mata's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristin Holly Mata'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
December 17, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 7 W Figueroa Street #308, Santa Barbara, CA 93101Office #2: 21 Waterway Avenue #300, The Woodlands, TX 77380Office #3: 400 Continental Blvd 6th Floor, El Segundo, CA 90245RIA
BD
CRD#: 7717
Santa Barbara, CA
Current
December 17, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 7 W Figueroa Street #308, Santa Barbara, CA 93101Office #2: 21 Waterway Avenue #300, The Woodlands, TX 77380Office #3: 400 Continental Blvd 6th Floor, El Segundo, CA 90245RIA
BD
CRD#: 7717
Santa Barbara, CA
Past
January 7, 2020 - January 18, 2022
IGNITE PLANNERS LLC
RIA
CRD#: 289797
The Woodlands, TX
Past
November 1, 2017 - December 31, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
THE WOODLANDS, TX
Past
October 2, 2017 - December 31, 2019
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
THE WOODLANDS, TX
Past
July 3, 2017 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
THE WOODLANDS, TX
Past
September 22, 2011 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
THE WOODLANDS, TX
Past
October 7, 2010 - September 9, 2011
KAISER AND COMPANY
BD
CRD#: 14186
THE WOODLANDS, TX
Past
September 19, 2008 - December 1, 2009
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
CYPRESS, TX
Past
October 23, 2006 - July 16, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOUSTON, TX
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(9/6/2023)
RR
Arkansas(8/25/2023)
RR
California(12/17/2021)
IAR
California(12/20/2021)
RR
Colorado(8/24/2023)
RR
Florida(8/24/2023)
RR
Georgia(8/25/2023)
RR
Idaho(8/24/2023)
RR
Louisiana(8/23/2023)
RR
Maryland(8/23/2023)
RR
Missouri(8/24/2023)
RR
Nevada(8/29/2023)
RR
Oregon(8/25/2023)
RR
South Carolina(8/25/2023)
RR
Tennessee(8/25/2023)
RR
Texas(12/17/2021)
IAR
Texas(12/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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#: 7717Santa Barbara, CA 93101TRUST BUT VERIFY
Monitor Kristin Mata
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
