JV
John Velez
INDEPENDENT FINANCIAL GROUP
Marana, AZ
Some features on this profile are disabled
CRD#: 836257
JV
Professional summary
John Velez is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Marana, Arizona.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. John has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 1 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) QUANTUM BUSINESS COACH POSITION: Officer/Director NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 8 START DATE: 06/05/2019 ADDRESS: 14025 N Speckled Burro Ln., Marana AZ 85658, United States DESCRIPTION: 100% OWNER OF QUANTUM BUSINESS COACH OFFERING BUSINESS COACHING (2) QUANTUM TAX PREPARATION & PLANNING POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/18/2016 ADDRESS: 14025 N Speckled Burro Ln., Marana AZ 85658, United States DESCRIPTION: 100% OWNER OF DBA QUANTUM TAX PREPARATION & PLANNING OFFERING ACCOUNTING, TAX PREPARATION & TAX PLANNING FOR CLIENTS. (3) QUANTUM WEALTH MANAGEMENT MARKETING POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 20 START DATE: 05/16/2016 ADDRESS: 14025 N Speckled Burro Ln., Marana AZ 85658, United States DESCRIPTION: I100% OWNER OF DBA QUANTUM WEALTH MANAGEMENT USED FOR MARKETING PURPOSES. (4)INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/22/2016 ADDRESS: 14025 N Speckled Burro Ln., Marana AZ 85658, United States DESCRIPTION: AZ INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. DOVE MOUNTAIN ROTARY POSITION: New board member NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/11/1924 ADDRESS: 5250 W Dove Centre Rd, Marana AZ 85658, United States DESCRIPTION: Rotary clubs bring together people to create lasting change through service. Rotary's mission is to promote peace, goodwill, and understanding, and to provide service to others. I am a new member and new board member of Dove Mountain Rotary. I donate my time. I donate my energy. I make modest financial donations. UNIVERSITY OF ARIZONA POSITION: Volunteer NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 09/19/2025 ADDRESS: 4485 N. 1st Ave, Tucson AZ 85719, United States DESCRIPTION: I will teach a course on Ethical Wills to senior citizens. Each class is 90 minutes. There are four classes, on Friday morning, from September 19 - October 10 2025. This is not business related. Indeed, the University of Arizona does not allow me to seek business.
CRS (Client Relationship Summary) - RIA
Click below to view John Velez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Velez'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
May 16, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Marana, AZ
Current
May 16, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Marana, AZ
Past
December 15, 2015 - May 11, 2016
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
FORT WORTH, TX
Past
July 2, 2009 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
Tucson, AZ
Past
May 5, 2009 - May 11, 2016
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
Tucson, AZ
Past
May 14, 1999 - March 23, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 14, 1999 - March 23, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
March 28, 1990 - February 4, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
March 28, 1990 - February 4, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
February 3, 1989 - January 18, 1990
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
SYOSSET, NY
Past
November 18, 1986 - March 19, 1987
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
Past
April 14, 1977 - December 26, 1977
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Alaska(6/3/2016)
RR
Arizona(5/16/2016)
IAR
Arizona(5/31/2016)
RR
California(5/16/2016)
RR
Colorado(7/10/2019)
RR
Delaware(9/26/2022)
RR
Florida(7/5/2023)
RR
Georgia(5/16/2016)
RR
Illinois(7/25/2025)
RR
Mississippi(5/16/2016)
RR
New Jersey(9/26/2022)
RR
New York(7/28/2023)
RR
North Carolina(5/16/2016)
RR
Oregon(5/16/2016)
RR
Pennsylvania(10/17/2023)
RR
Tennessee(5/16/2016)
RR
Texas(5/16/2016)
IAR
Texas(5/16/2016)
RR
Utah(6/2/2022)
RR
Virginia(1/6/2022)
RR
Washington(9/7/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/11/1977
Registered Representative ExaminationSRO 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.
