RW
Rick J. Wertheim
INDEPENDENT FINANCIAL GROUP
Phoenix, AZ
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CRD#: 5390056
RW
Professional summary
Rick J Wertheim is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Phoenix, Arizona.
Rick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Rick has worked at 5 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) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 10/29/2015 ADDRESS: 3017 Douglas Blvd, Suite 300 Office 82, Roseville CA 95661, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (2) CAL POLY ALUM ASSOCIATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2017 ADDRESS: Various Locations, Primarily Virtual or Restaurant, United States DESCRIPTION: TREASURER FOR CAL POLY ALUMNI ASSOCIATION.
CRS (Client Relationship Summary) - RIA
Click below to view Rick J Wertheim's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rick J Wertheim'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
October 29, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Phoenix, AZ
Current
October 29, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Phoenix, AZ
Past
December 24, 2014 - September 29, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ROSEVILLE, CA
Past
December 24, 2014 - September 29, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ROSEVILLE, CA
Past
July 6, 2012 - January 2, 2015
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ROSEVILLE, CA
Past
July 6, 2012 - January 2, 2015
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ROSEVILLE, CA
Past
May 19, 2011 - July 10, 2012
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
ROSEVILLE, CA
Past
May 18, 2011 - July 10, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
ROSEVILLE, CA
Past
February 15, 2008 - May 9, 2011
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
ROSEVILLE, CA
Past
February 7, 2008 - May 9, 2011
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
ROSEVILLE, 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
Alabama(10/29/2015)
RR
Arizona(5/13/2021)
IAR
Arizona(6/3/2021)
RR
California(10/29/2015)
IAR
California(10/29/2015)
RR
Colorado(8/12/2016)
RR
Florida(11/11/2022)
RR
Nevada(7/24/2020)
RR
Oregon(7/13/2020)
RR
Tennessee(6/14/2023)
RR
Utah(8/16/2019)
RR
Washington(9/21/2022)
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.
