BS
Bruce P. Stone
INDEPENDENT FINANCIAL GROUP
Los Angeles, CA 90041
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CRD#: 842768
BS
Professional summary
Bruce Phillips Stone is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Los Angeles, California.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Bruce has worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 1 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.
STONEKIMBRO FINANCIAL SERVICES POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2020 ADDRESS: 940 South Coast Drive, Suite 125, Costa Mesa CA 92626, United States DESCRIPTION: Running the business side of the enterprise as well as supervision duties, managing key clientrelationships, new business development
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Phillips Stone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce Phillips Stone'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
April 28, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 825 Colorado Blvd. Suite 201, Los Angeles, CA 90041Office #2: 940 South Coast Drive Suite 125, Costa Mesa, CA 92626RIA
BD
CRD#: 7717
Los Angeles, CA
Current
April 28, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 825 Colorado Blvd. Suite 201, Los Angeles, CA 90041Office #2: 940 South Coast Drive Suite 125, Costa Mesa, CA 92626RIA
BD
CRD#: 7717
Los Angeles, CA
Past
February 25, 2022 - June 19, 2025
STONEKIMBRO
RIA
CRD#: 317356
COSTA MESA, CA
Past
December 1, 2005 - April 29, 2010
AFA ADVISOR SERVICES LLC
RIA
CRD#: 129104
PASADENA, CA
Past
October 31, 2005 - November 7, 2005
OSAIC SERVICES, INC.
RIA
CRD#: 133763
PASADENA, CA
Past
October 31, 2005 - November 7, 2005
OSAIC SERVICES, INC.
BD
CRD#: 133763
PASADENA, CA
Past
October 31, 2005 - April 29, 2010
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
PASADENA, CA
Past
November 30, 1998 - October 31, 2005
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
PASADENA, CA
Past
November 16, 1998 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
November 7, 1994 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, CA
Past
June 13, 1994 - November 15, 1994
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
May 13, 1989 - May 14, 1994
PROGRAMMED EQUITIES CORPORATION
BD
CRD#: 21778
Past
May 1, 1979 - March 20, 1989
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
September 14, 1977 - May 1, 1979
USLIFE EQUITY SALES CORP
BD
CRD#: 6815
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
Arizona(5/16/2013)
IAR
Arizona(6/6/2024)
RR
California(4/28/2010)
IAR
California(4/28/2010)
RR
Colorado(8/19/2013)
RR
Florida(10/27/2020)
RR
Georgia(2/23/2021)
RR
Idaho(7/24/2013)
RR
Illinois(11/17/2020)
RR
Indiana(6/10/2014)
RR
Iowa(10/30/2020)
RR
Kansas(7/2/2021)
RR
Massachusetts(7/20/2016)
RR
Michigan(9/4/2013)
RR
Nevada(8/11/2014)
RR
New Jersey(12/10/2021)
RR
North Carolina(10/27/2020)
RR
Ohio(10/27/2020)
RR
Oregon(4/28/2010)
RR
Pennsylvania(10/27/2020)
RR
South Carolina(11/3/2020)
RR
Tennessee(12/9/2021)
RR
Texas(12/2/2025)
IAR
Texas(12/2/2025)
RR
Virginia(10/27/2020)
RR
Washington(6/10/2014)
RR
Wisconsin(5/26/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/6/1977
Registered Representative ExaminationPrincipal/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.
