Robert L. Hagmaier

INDEPENDENT FINANCIAL GROUP

Yukon, OK

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CRD#: 720593

Professional summary

Robert Louis Hagmaier is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Yukon, Oklahoma.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Robert has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Louis Hagmaier's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert Louis Hagmaier'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®

None

Experience

Current

December 18, 2008 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Yukon, OK

Current

December 18, 2008 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Yukon, OK

Past

January 5, 2007 - December 18, 2008

EPLANNING ADVISORS INC

RIA

CRD#: 109184

ROSEVILLE, CA

Past

October 26, 2006 - December 18, 2008

EPLANNING SECURITIES, INC.

CRD#: 46000

LAKE OSWEGO, OR

Past

July 9, 2002 - October 27, 2006

FINANCIAL WEST GROUP

RIA

CRD#: 16668

LAKE OSWEGO, OR

Past

February 26, 2001 - October 27, 2006

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

September 11, 1996 - February 1, 2001

PHILLIPS & COMPANY

CRD#: 35800

PORTLAND, OR

Past

July 11, 1994 - August 23, 1996

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

February 1, 1989 - July 13, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 21, 1987 - February 6, 1989

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

October 15, 1982 - May 2, 1987

BOETTCHER & COMPANY, INC.

CRD#: 101

Past

November 16, 1980 - October 13, 1982

WEDBUSH SECURITIES INC.

CRD#: 877

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

Kentucky
(12/18/2008)

Oklahoma
(12/18/2008)

IAR

Oklahoma
(6/28/2019)

Oregon
(5/6/2020)

Texas
(12/18/2008)

IAR

Texas
(9/7/2012)

Virginia
(9/9/2024)

Washington
(11/6/2014)

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

IAR

Series 66

Date: 4/18/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 3/7/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

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

622

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 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

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.

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Robert L. Hagmaier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Louis Hagmaier's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert Louis Hagmaier's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

EPLANNING ADVISORS INC

EPLANNING SECURITIES, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

PHILLIPS & COMPANY

PIPER SANDLER & CO.

LEHMAN BROTHERS INC.

KIDDER, PEABODY & CO. INCORPORATED

BOETTCHER & COMPANY, INC.

WEDBUSH SECURITIES INC.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/18/2002

Series 63

Date: 4/7/1984

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1980

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 3/7/1995

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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