John A. Nabergall

INDEPENDENT FINANCIAL GROUP

LITTLETON, CO

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CRD#: 1875305

Professional summary

John Andrew Nabergall II, who also goes by John Andrew Nabergall II, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Littleton, Colorado.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Andrew Nabergall Ii

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.

NABERHOOD FINANCIAL SERVICES POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2021 ADDRESS: 7580 W Coal Mine Avenue, Unit C, Littleton CO 80123, United States DESCRIPTION: Investment Services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Andrew Nabergall II's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Andrew Nabergall II's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 10, 2025 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

LITTLETON, CO

Current

July 10, 2025 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

LITTLETON, CO

Past

November 3, 2023 - June 18, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SUGAR LAND, TX

Past

November 3, 2023 - June 18, 2025

OSAIC WEALTH, INC.

CRD#: 23131

SUGAR LAND, TX

Past

May 3, 2021 - November 3, 2023

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SUGAR LAND, TX

Past

May 3, 2021 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

SUGAR LAND, TX

Past

February 15, 2019 - May 11, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Sugar Land, TX

Past

February 15, 2019 - May 11, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Sugar Land, TX

Past

September 1, 2005 - February 22, 2019

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

HOUSTON, TX

Past

August 31, 2005 - August 31, 2005

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

HOUSTON, TX

Past

August 31, 2005 - February 22, 2019

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

HOUSTON, TX

Past

May 25, 1990 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 23, 1990 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HOUSTON, TX

Past

April 25, 1990 - July 16, 1990

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

September 27, 1988 - April 25, 1990

UR FINANCIAL, INC.

CRD#: 10509

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

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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.

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

Colorado
(7/10/2025)

IAR

Colorado
(7/11/2025)

Florida
(7/10/2025)

North Dakota
(7/10/2025)

Texas
(7/10/2025)

IAR

Texas
(7/10/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/9/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/6/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/23/1990

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/2/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/26/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

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.

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Firm Stability Insights

John A. Nabergall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Andrew Nabergall II's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Andrew Nabergall II's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MSI FINANCIAL SERVICES, INC.

UR FINANCIAL, INC.

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/9/2007

Series 63

Date: 9/26/1988

SIE

Date: 10/1/2018

Series 31

Date: 1/6/2000

Series 7

Date: 5/23/1990

Series 22

Date: 3/2/1989

Series 6

Date: 9/26/1988

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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