CRD #7717 · FINRA BrokerCheck + SEC IAPD

Independent Financial Group, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Independent Financial Group, LLC ranks #380 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #6 of 279 on the same disclosure sort used on the state browse page. Independent Financial Group, LLC carries 17 BrokerCheck disclosures across 395 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
395
branch offices
17
disclosures
#380 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7717 Independent Financial Group, LLC

Independent Financial Group, LLC · Grade B · 17 disc · 0.04/office · Large firm

  • CRD 7717
  • GRADE B
  • DISC 17
  • REG 15
  • ARB 2
  • CIV 0
  • BRANCH 395
  • PER-OFF 0.04
  • RANK #380 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Silver OAK Securities, Incorporated (0.04 disc/office)

Silver OAK Securities, …0.04Kovack Securities Inc.0.04Stonex Securities Inc.0.04Independent Financi… (this)0.04
Disclosures per office among large firm peers (lower is cleaner)

Independent Financial Group, LLC ranks #380 of 20,055 by disclosure count among graded broker-dealers; light load at 0.04 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

395 offices

FINRA: Large firm

Total disclosures

17 events

On FINRA BrokerCheck

Regulatory events

15 actions

88% of all disclosures

Disclosures per office

0.04 per office

17 ÷ 395 offices

Independent Financial Group, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 93% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 15
Arbitrations 2
Civil Events 0
Total 17

Counts for Independent Financial Group, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 15 Arbitration 2 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
San Diego, CA
CRD Number
7717

Lower disclosures per office

Independent Financial Group, LLC in the heavier-disclosure third

Independent Financial Group, LLC carries 17 BrokerCheck disclosures across 395 branch offices - a heavier-third raw book among graded firms (#380 of 20,055). Regulator-initiated events are 88% of the book (15 regulatory / 2 arbitration / 0 civil).

Independent Financial Group, LLC runs 0.04 disclosures per branch office (cleaner than 93% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Independent Financial Group, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

California cohort · 8.29× state average

Independent Financial Group, LLC sits above the California disclosure average

Independent Financial Group, LLC reports 17 BrokerCheck disclosures, 8.29× the California average of 2.1 across 279 graded firms with a principal-office state on file.

In California, 189 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the California state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Independent Financial Group, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Independent Financial Group, LLC ranks #380 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #6 of 279 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Independent Financial Group, LLC?
A grade of B reflects Independent Financial Group, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 17 total disclosures across 395 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Independent Financial Group, LLC have?
Independent Financial Group, LLC has 17 total FINRA disclosures, including 15 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Independent Financial Group, LLC?
Independent Financial Group, LLC operates 395 branch offices and is classified by FINRA as a large firm, registered in CA (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Independent Financial Group, LLC's disciplinary record?
You can verify Independent Financial Group, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7717. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Independent Financial Group, LLC's 17 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Independent Financial Group, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Independent Financial Group, LLC carries 17 disclosures across 395 branch offices (about 0.04 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Independent Financial Group, LLC, both outside CA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Silver OAK Securities, Incorporated (TN) - 0.04 disclosures/office, nearest large firm peer to Independent Financial Group, LLC's 0.04
  • Kovack Securities Inc. (FL) - 0.04 disclosures/office, nearest large firm peer to Independent Financial Group, LLC's 0.04
  • Stonex Securities Inc. (AL) - 0.04 disclosures/office, nearest large firm peer to Independent Financial Group, LLC's 0.04
  • Firms in CA - state roster that includes Independent Financial Group, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Independent Financial Group, LLC.
  • Reading BrokerCheck Reports - How Independent Financial Group, LLC's 0.04 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Independent Financial Group, LLC.
  • Compare firms - put Independent Financial Group, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.