TO
Thorne Oconnell
INDEPENDENT FINANCIAL GROUP
Santa Maria, CA 93455
Some features on this profile are disabled
CRD#: 7557554
TO
Professional summary
Thorne Oconnell is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Santa Maria, California and X ADVISORS, LLC located in Lake Balboa, California.
Thorne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Thorne has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.
ADVISOR ASSOCIATE POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/24/2024 ADDRESS: 5435 Balboa Blvd, Suite #106, Encino CA 91316, United States DESCRIPTION: Marketing DBA For Financial Services X ADVISORS, LLC POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 06/17/2024 ADDRESS: 6345 Balboa Blvd. Building 1, Suite 100, Encino CA 91316, United States DESCRIPTION: IAR
CRS (Client Relationship Summary) - RIA
Click below to view Thorne Oconnell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thorne Oconnell'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
December 20, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2646 Santa Maria Way Suite 104, Santa Maria, CA 93455RIA
BD
CRD#: 7717
Santa Maria, CA
Current
April 3, 2025 - Present
X ADVISORS, LLC
Office #1: 6345 Balboa Blvd, Building 1 Suite 100, Lake Balboa, CA 91406RIA
CRD#: 315838
Lake Balboa, CA
Current
June 21, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2646 Santa Maria Way Suite 104, Santa Maria, CA 93455RIA
BD
CRD#: 7717
Santa Maria, CA
Past
March 6, 2023 - July 3, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
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(8/8/2025)
RR
Alaska(8/8/2025)
RR
Arizona(9/18/2025)
RR
Arkansas(8/8/2025)
RR
California(7/31/2024)
IAR
California(12/20/2024)
RR
Colorado(8/8/2025)
IAR
Colorado(8/8/2025)
RR
Florida(8/8/2025)
RR
Georgia(8/8/2025)
RR
Idaho(8/8/2025)
RR
Kentucky(8/8/2025)
RR
Maryland(8/8/2025)
RR
Michigan(8/8/2025)
RR
Minnesota(8/8/2025)
RR
Mississippi(8/8/2025)
RR
Missouri(8/8/2025)
RR
Nebraska(8/8/2025)
RR
Nevada(8/8/2025)
RR
New Mexico(8/8/2025)
RR
New York(8/8/2025)
RR
North Carolina(7/18/2025)
RR
Ohio(8/12/2025)
RR
Oklahoma(8/8/2025)
RR
Oregon(8/18/2025)
RR
South Dakota(8/8/2025)
RR
Texas(8/8/2025)
IAR
Texas(8/8/2025)
RR
Washington(8/8/2025)
RR
West Virginia(8/8/2025)
RR
Wisconsin(8/8/2025)
RR
Wyoming(8/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/4/2023
General Securities 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
