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Rick Willoughby

Independent Financial Group, LLC
27 Years of Experience
Phoenix, AZ
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Rick Willoughby is a registered investment advisor at Independent Financial Group, LLC, based in Phoenix, AZ, with 27 years of industry experience. Rick is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 26,635 clients with $13B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
541 advisors
Number of Clients
26,635 clients
Average Client Portfolio
$485K average
Assets Under Management
$12.9B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5M+2.00%

Maximum advisor fee is shown; program fees (0.04% to 0.16%) and transaction charges may apply depending on the selected program. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

15022 S 40th Pl, Phoenix, AZ, 85044

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2011
Settled
Customer Dispute
July 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Rick is a 50% owner of Symphony Financial Services, a DBA used for marketing securities, advisory, and insurance services. He dedicates minimal time to this activity.

Employment History
Current Registrations
Independent Financial Group, LLC
October 2005 - Present · 21 yrs
Independent Financial Group, LLCBroker
June 2004 - Present · 22 yrs 4 mos
Previous Registrations
Independent Financial Group, LLC
September 2004 - October 2005 · 1 yr 1 mo
Newbridge Securities CorporationBroker
January 2004 - June 2004 · 5 mos
Intersecurities, INC.Broker
September 2000 - February 2004 · 3 yrs 5 mos
Farmers Financial Solutions, LLCBroker
September 2000 - October 2000 · 1 mo
Investors Brokerage Services, INC.Broker
May 2000 - September 2000 · 4 mos
Century 21 Securities CorporationBroker
April 1984 - December 1984 · 8 mos
State Registrations21 states
ALAZCACOFLGAKSMIMNMONCNENVNYOKORPASCTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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