AM
Arthur E. Molloy
INDEPENDENT FINANCIAL GROUP
San Diego, CA 92130
Some features on this profile are disabled
CRD#: 734407
AM
Professional summary
Arthur Eugene Molloy, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Arthur has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 4, Series 27 and Series 24 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: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/25/1979 ADDRESS: 8910 University Center Lane, Ste 150, San Diego CA 92122, United States DESCRIPTION: CA INSURANCE AGENT OFFERING SALES OF VARIOUS TYPES OF INSURANCE PRODUCTS. BRISA AT DEL MAR MESA HOMOWNER'S ASSOCIATION POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 6545 Mesa Norte Drive, San Diego CA 92130, United States DESCRIPTION: Board member for 9-home HOA CAPITAL GROWTH, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 6 START DATE: 03/15/1983 ADDRESS: 12680 High Bluff Dr, Ste 250, San Diego CA 92130, United States DESCRIPTION: President and Founder of Capital Growth Inc. I manage and run the company on a day-in and day-out basis. The company acts only as a DBA for marketing putposes.
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Eugene Molloy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur Eugene Molloy'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®
Experience
Current
October 21, 2005 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12680 High Bluff Dr Ste 250, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Current
December 10, 2003 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12680 High Bluff Dr Ste 250, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Past
February 15, 2017 - May 12, 2022
CAPITAL GROWTH INVESTMENT MANAGEMENT SERVICES
RIA
CRD#: 106952
San Diego, CA
Past
December 10, 2003 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 125953
LA JOLLA, CA
Past
January 22, 2003 - December 31, 2016
CAPITAL GROWTH INVESTMENT MANAGEMENT SERVICES
RIA
CRD#: 106952
SAN DIEGO, CA
Past
December 16, 1997 - December 16, 2003
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
SAN DIEGO, CA
Past
September 12, 1995 - December 16, 2003
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
May 19, 1987 - September 11, 1995
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
September 29, 1983 - February 14, 1990
AMERICAN CAPITAL SECURITIES
BD
CRD#: 13606
Past
July 20, 1981 - November 8, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
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(1/3/2023)
RR
Alaska(1/3/2023)
RR
Arizona(12/10/2003)
RR
Arkansas(1/10/2023)
RR
California(12/10/2003)
IAR
California(10/21/2005)
RR
Colorado(12/10/2003)
RR
Connecticut(12/10/2003)
RR
Delaware(9/24/2024)
RR
District of Columbia(1/10/2023)
RR
Florida(1/2/2004)
RR
Georgia(12/11/2003)
RR
Hawaii(1/16/2004)
RR
Idaho(9/29/2011)
RR
Illinois(12/11/2003)
RR
Indiana(12/19/2003)
RR
Iowa(10/12/2021)
RR
Kansas(1/11/2011)
RR
Kentucky(11/17/2021)
RR
Louisiana(9/30/2011)
RR
Maine(9/19/2024)
RR
Maryland(2/18/2016)
RR
Massachusetts(1/2/2004)
RR
Michigan(1/9/2023)
RR
Minnesota(8/22/2008)
RR
Mississippi(9/17/2024)
RR
Missouri(9/18/2024)
RR
Montana(1/2/2004)
RR
Nebraska(1/24/2023)
RR
Nevada(12/10/2003)
RR
New Hampshire(9/19/2024)
RR
New Jersey(12/10/2003)
RR
New Mexico(12/10/2003)
RR
New York(12/10/2003)
RR
North Carolina(12/10/2003)
RR
North Dakota(4/16/2019)
RR
Ohio(12/10/2003)
RR
Oklahoma(1/5/2023)
RR
Oregon(12/10/2003)
RR
Pennsylvania(12/10/2003)
RR
Puerto Rico(9/20/2024)
RR
Rhode Island(9/18/2024)
RR
South Carolina(9/30/2011)
RR
South Dakota(11/28/2023)
RR
Tennessee(5/4/2015)
RR
Texas(12/10/2003)
IAR
Texas(6/21/2011)
RR
Utah(12/10/2003)
RR
Vermont(9/18/2024)
RR
Virginia(12/10/2003)
RR
Washington(12/10/2003)
RR
West Virginia(9/19/2024)
RR
Wisconsin(1/3/2023)
RR
Wyoming(1/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
