DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

STEVEN ROY SUTLEY

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

SAN DIEGO, CA | SACRAMENTO, CA | NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8cd1147e-96f9-0b3d-0e7d-06db059b3a53

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 19, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT FINANCIAL GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 9, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Jun 9, 1994
First registration: Apr 19, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2492755

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Feb 13, 2009	n/a	yes	SACRAMENTO, CA\|NEW YORK, NY\|SAN DIEGO, CA	Current employment
PENSION PLANNERS SECURITIES, INC.	n/a	Jan 26, 2009	Feb 20, 2009	no	RANCHO CORDOVA, CA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Aug 13, 2008	Feb 17, 2009	no	SACRAMENTO, CA\|SANTA BARBARA, CA	Previous registration
PENSION PLANNERS SECURITIES, INC.	n/a	Apr 19, 2001	Aug 13, 2008	no	SAC, CA\|SACRAMENTO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PENSION PLANNERS SECURITIES, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Feb 20, 2009	Feb 13, 2009	-7	Firm change	Other
CETERA ADVISOR NETWORKS LLC	PENSION PLANNERS SECURITIES, INC.	Feb 17, 2009	Jan 26, 2009	-22	Firm change	Other
PENSION PLANNERS SECURITIES, INC.	CETERA ADVISOR NETWORKS LLC	Aug 13, 2008	Aug 13, 2008	0	Bulk transfer	Other

Relationships

Registered with (3)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Feb 13, 2009 to presentfactForm ADV
→ PENSION PLANNERS SECURITIES, INC.Registered adviserregistration: previous registration
Jan 26, 2009 to Feb 20, 2009factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Aug 13, 2008 to Feb 17, 2009factForm ADV

Dated events

No dated event names this entity yet.