NH
Nathaniel L. Higgins
INDEPENDENT FINANCIAL GROUP
Marysville, WA 98271
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CRD#: 6374659
NH
Professional summary
Nathaniel Louis Higgins, who also goes by Nate Higgins, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Marysville, Washington.
Nathaniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Nathaniel has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 22TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nate Higgins
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) Real Estate Transition Solutions, Investment related, Start date: January 2022, Kirkland, WA, Position: Analyst, Duties: Financial and research analyst, 1031 Exchanges, DST Recommendations. Full time during trading hours. 2) Secure Asset Management, LLC, Investment related, Start date: March 2020, Registered Assistant for Investment Advisory related activities. 1-5 hours/month during business hours. OUTDOORS FOR ALL FOUNDATION POSITION: Board of Directors NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 6344 NE 74th St, Suite 102, WA 98115, United States DESCRIPTION: Board of Directors, setting policy, teaching Nordic skills to folks with disabilities. MCKEON FINANCIAL POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 65 START DATE: 10/01/2024 ADDRESS: 1507 172nd St Ne Ste 201, Marysville WA 98271, United States DESCRIPTION: Registered Rep and Investment Advisor Rep
CRS (Client Relationship Summary) - RIA
Click below to view Nathaniel Louis Higgins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathaniel Louis Higgins'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 1, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1507 172nd St Ne Ste 201, Marysville, WA 98271RIA
BD
CRD#: 7717
Marysville, WA
Current
October 1, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1507 172nd St Ne Ste 201, Marysville, WA 98271RIA
BD
CRD#: 7717
Marysville, WA
Past
January 28, 2022 - May 13, 2024
AURORA SECURITIES
BD
CRD#: 46147
Kirkland, WA
Past
January 7, 2022 - May 13, 2024
SECURE ASSET MANAGEMENT, L.L.C.
RIA
CRD#: 144046
Portland, OR
Past
September 27, 2019 - February 14, 2020
EQUILUS GROUP INC
RIA
CRD#: 300142
EAST WENATCHEE, WA
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
Washington(10/1/2024)
IAR
Washington(10/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/1/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/28/2022
Direct Participation Programs Representative ExaminationGeneral 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Marysville, WA 98271TRUST BUT VERIFY
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