Aaron M. Buck

INDEPENDENT FINANCIAL GROUP

Knoxville, TN

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CRD#: 6275091

Professional summary

Aaron Matthew Buck, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Knoxville, Tennessee.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Aaron has worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Matthew Buck's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Aaron Matthew Buck'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

June 2, 2026 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Knoxville, TN

Current

June 1, 2026 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Knoxville, TN

Past

December 16, 2022 - March 5, 2026

PATRIOT INVESTMENT MANAGEMENT GROUP INC

RIA

CRD#: 112155

KNOXVILLE, TN

Past

May 16, 2022 - December 15, 2022

NORTHSTAR INVESTMENT ADVISORY LLC

RIA

CRD#: 315965

Knoxville, TN

Past

April 7, 2021 - April 11, 2022

FACET

RIA

CRD#: 285961

Knoxville, TN

Past

December 11, 2018 - May 4, 2021

BROGAN FINANCIAL

RIA

CRD#: 133623

KNOXVILLE, TN

Past

October 2, 2017 - November 14, 2018

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

KNOXVILLE, TN

Past

October 2, 2017 - November 14, 2018

THE INVESTMENT CENTER, INC.

CRD#: 17839

KNOXVILLE, TN

Past

July 28, 2015 - October 2, 2017

SSN ADVISORY, INC.

RIA

CRD#: 126090

KNOXVILLE, TN

Past

July 2, 2015 - October 2, 2017

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

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

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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.

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

Tennessee
(6/2/2026)

IAR

Tennessee
(6/2/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/8/2026

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/27/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/1/2026

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/24/2026

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/2/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A WRAP BROCHURE MARCH 16, 2026 (3/17/2026)

FORM ADV PART 2A MARCH 16, 2026 (3/17/2026)

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.

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Firm Stability Insights

Aaron M. Buck

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Matthew Buck's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Aaron Matthew Buck's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

PATRIOT INVESTMENT MANAGEMENT GROUP INC

NORTHSTAR INVESTMENT ADVISORY LLC

FACET

BROGAN FINANCIAL

IC ADVISORY SERVICES, INC.

THE INVESTMENT CENTER, INC.

SSN ADVISORY, INC.

SECURITIES SERVICE NETWORK, LLC

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/2026

Series 66

Date: 7/27/2015

Series 7TO

Date: 6/1/2026

SIE

Date: 3/24/2026

Series 7

Date: 7/2/2015

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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