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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

CRAIG CLARK SPANTON

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

Boise, ID

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Search this name across graphsid dfx:ria:d9f40573-3964-beea-4581-ddf55f074c91

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 29, 2007 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: Nov 24, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 24, 1997
First registration: Jan 29, 2007
Dual registered: yes, broker-dealer
Other names: CRAIG C SPANTON
IAPD individual key: 2945050

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	Dec 1, 2015	n/a	yes	Boise, ID	Current employment
TRICOR ADVISORY SERVICES, LLC	Former SEC adviser	Nov 4, 2009	Dec 1, 2015	no	LAS VEGAS, NV	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 2, 2007	Sep 24, 2009	no	BOISE, ID	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jan 29, 2007	Nov 2, 2007	no	EAGLE, ID\|BOISE, ID\|BOISE, ID\|BOISE, ID	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
TRICOR ADVISORY SERVICES, LLC	INDEPENDENT FINANCIAL GROUP, LLC	Dec 1, 2015	Dec 1, 2015	0	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TRICOR ADVISORY SERVICES, LLC	Sep 24, 2009	Nov 4, 2009	41	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 2, 2007	Nov 2, 2007	0	Firm change	Other

Relationships

Registered with (4)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Dec 1, 2015 to presentfactForm ADV
→ TRICOR ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Nov 4, 2009 to Dec 1, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 2, 2007 to Sep 24, 2009factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jan 29, 2007 to Nov 2, 2007factForm ADV

Dated events

No dated event names this entity yet.