Abbey D. Eastham
Professional summary
Abbey Dawn Eastham, who also goes by Abbey Dawn Riddles, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Abbey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Abbey has worked at 16 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Abbey Dawn Eastham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Abbey Dawn Eastham's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 20, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130February 20, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130October 14, 2024 - February 25, 2025
REALTA INVESTMENT ADVISORS, INC
October 14, 2024 - February 25, 2025
REALTA EQUITIES, INC.
February 8, 2023 - February 8, 2023
CETERA ADVISORS LLC
February 8, 2023 - October 16, 2024
CETERA INVESTMENT ADVISERS LLC
November 12, 2020 - February 8, 2023
CETERA INVESTMENT ADVISERS LLC
November 1, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
November 1, 2018 - October 16, 2024
CETERA INVESTMENT SERVICES LLC
November 1, 2018 - October 16, 2024
CETERA FINANCIAL SPECIALISTS LLC
November 1, 2018 - October 16, 2024
CETERA ADVISORS LLC
November 1, 2018 - October 16, 2024
CETERA WEALTH SERVICES, LLC
September 10, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
July 20, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
July 20, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
July 20, 2015 - October 23, 2017
SUMMIT BROKERAGE SERVICES, INC.
July 20, 2015 - October 23, 2017
GIRARD SECURITIES, INC.
July 20, 2015 - October 23, 2017
CETERA INVESTMENT SERVICES LLC
July 20, 2015 - October 23, 2017
CETERA FINANCIAL SPECIALISTS LLC
July 20, 2015 - October 23, 2017
CETERA ADVISORS LLC
July 20, 2015 - October 23, 2017
CETERA WEALTH SERVICES, LLC
January 6, 2014 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
January 3, 2014 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
May 7, 2013 - January 17, 2014
LPL FINANCIAL LLC
February 26, 2013 - January 17, 2014
LPL FINANCIAL LLC
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/20/2025)
(2/20/2025)
Exams
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
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.
