• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
STEVEN ROY SUTLEY
CRD#: 2492755
IA
Investment Adviser
B
Broker
INDEPENDENT FINANCIAL GROUP, LLCCRD#: 7717 9700 BUSINESS PARK DR
STE 204
SACRAMENTO, CA 95827
Registration History
19952000200520102015202020252 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (16 years)BPENSION PLANNERS SECURITIES, INC. (CRD# 14068)1995 - 2008 (13 years)IAPENSION PLANNERS SECURITIES, INC. (CRD# 14068)2009 - 2009 (<1 year)IAPENSION PLANNERS SECURITIES, INC. (CRD# 14068)2001 - 2008 (7 years)
License(s)

State Registrations

B
Arizona 10/4/2017

B
Nevada 3/1/2017

B
Arkansas 5/11/2011

B
New Jersey 2/13/2009

B
California 2/13/2009

B
New York 10/4/2017

IA
California 2/13/2009

IA
New York 4/24/2023

B
Colorado 10/4/2017

B
North Carolina 1/19/2012

B
Florida 2/9/2016

B
Ohio 10/30/2024

B
Hawaii 10/30/2024

B
Oregon 2/13/2009

B
Idaho 10/4/2017

B
South Carolina 10/30/2024

B
Illinois 10/30/2024

B
Tennessee 10/30/2024

B
Kansas 7/3/2018

B
Texas 7/1/2013

B
Louisiana 10/29/2024

IA
Texas 7/8/2013

B
Maryland 6/17/2024

B
Utah 2/13/2009

B
Minnesota 1/31/2024

B
Virginia 10/4/2017

B
Mississippi 3/8/2023

B
Washington 10/3/2017

B
Montana 9/25/2024

B
Wisconsin 10/28/2022

B
Nebraska 10/30/2024

B
Wyoming 10/30/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
9700 BUSINESS PARK DR STE 204, SACRAMENTO, CA 95827
NEW YORK, NY
Registered with this firm since 2/13/2009

B
INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717)
9700 BUSINESS PARK DR STE 204, SACRAMENTO, CA 95827
NEW YORK, NY
Registered with this firm since 2/13/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/26/2009 - 02/20/2009 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) RANCHO CORDOVA, CA
IA
08/13/2008 - 02/17/2009 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SACRAMENTO, CA
B
08/13/2008 - 02/17/2009 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SACRAMENTO, CA
IA
04/19/2001 - 08/13/2008 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) SACRAMENTO, CA
B
04/18/1995 - 08/13/2008 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) SACRAMENTO, CA
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.