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Category Independent Financial Group

Independent Financial Group, LLC Broker, Brett Hartvigson, Has Had Four Customer Complaint Disclosures Alleging Sales Practice Misconduct

December 20, 2020

Brett Hartvigson (CRD # 2263087) is a Financial Advisor at Independent Financial Group, LLC in San Diego, CA. Brett Hartvigson has been in the securities industry since 1992 and previously worked at LPL Financial Corporation, Thrivent Investment Management Inc., and Lutheran Brotherhood Securities Corp. According to publicly available records released by the Financial Industry Regulatory…

Independent Financial Group Broker, Kenneth Guerra, Has A Pending Customer Complaint Involving The Sale Of Alternative Investments

November 30, 2019

  Kenneth Guerra (CRD # 1337062) is a Financial Advisor at Independent Financial Group in Grants Pass, Oregon. Kenneth Guerra previously worked at ING Financial Partners. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September 5, 2019, a customer complaint was reported against Kenneth Guerra, alleging “despite ttheir stated…

Independent Financial Group Financial Advisor, Brian Lockett, Has Nine Customer Complaints And A FINRA Suspension Reported On His CRD

November 21, 2019

Brian Joseph Lockett (CRD # 4573162) is a Financial Advisor at Independent financial Group, LLC in Lynnwood, WA.  Brian Lockett has been in the securities industry since 2002 and previously worked at Geneos Wealth Management, Inc. and Commonwealth Financial Network. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Brian Lockett…

Independent Financial Group Broker, Shimshon Plotkin, Has Seven Customer Complaint Disclosures, Alleging Sales Practice Violations

July 3, 2019

Shimshon Plotkin is a Financial Advisor at Independent Financial Group, LL in Chevy Chase, Maryland.  Shimshon Plotkin has been in the securities industry since 1994 and previously worked at Cambridge Investment Research.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Shimshon Plotkin has been the subject of seven customer complaint…

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