DW
David Wheeler
INDEPENDENT FINANCIAL GROUP
PRESCOTT, AZ 86305
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CRD#: 7964165
DW
Professional summary
David Wheeler, who also goes by David A Wheeler, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Prescott, Arizona.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. David has worked at 1 firm and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David A Wheeler
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.
VERDANT FINANCIAL ADVISORS LLC POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/14/2024 ADDRESS: 2180 W. Jockey Path, Prescott AZ 86305, United States DESCRIPTION: General Management, Accounting / bookkeeping ANN MCCARTY POSITION: Agent/Representative NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 02/01/2025 ADDRESS: 1626 N. Litchfield Road #280, Goodyear AZ 85395, United States DESCRIPTION: The referenced client, Ms. Ann M McCarty is a long time family friend who I, and My wife have been looking after for over 10 years. Ann currently lives on our property in our guest house and we help her with some basic living tasks. I have been handling her financial affairs for some time now to relieve her of the burden of keeping up with her various accounts and investments. Now that I am a registered representative of IFG (as of 02/03/2024) Ann has asked me to act as her financial advisor and open accounts for her at IFG into which she would like to transfer her assets. She further asked that I, David Wheeler and my wife Janet Wheeler be listed as primary beneficiaries on her accounts. Additionally, Ann has no living relatives and has established a trust which names my wife as primary beneficiary and further grants her financial and medical powers of attorney. In essence, we have become her only family. I am requesting a review of these circumstances and to be allowed honor Ann's request to add myself and my wife as primary beneficiaries to Ms. McCarty's accounts at IFG. You will note that I began creating an account application for Ann which lists my wife as beneficiary but halted the process when the beneficiary issue was discovered. The account is not opened and application has not been signed thus no assets have transferred. VERDANT FINANCIAL ADVISORS LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/14/2024 ADDRESS: 1129 Iron Springs Road, Suite 107, Prescott AZ 86305, United States DESCRIPTION: Soliciting new clients Providing investment advice Providing financial planning
CRS (Client Relationship Summary) - RIA
Click below to view David Wheeler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Wheeler'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
November 8, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1129 Iron Springs Road Suite 107, Prescott, AZ 86305RIA
BD
CRD#: 7717
PRESCOTT, AZ
Current
November 5, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1129 Iron Springs Road Suite 107, Prescott, AZ 86305RIA
BD
CRD#: 7717
PRESCOTT, AZ
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
IAR
Arizona(11/8/2024)
RR
Arizona(12/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/5/2024
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)
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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#: 7717Prescott, AZ 86305TRUST BUT VERIFY
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