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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

SUSAN ANNE SCHAUFELE

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

Westlake, OH

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 4, 2003 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: Oct 29, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 29, 2003
First registration: Nov 4, 2003
Dual registered: yes, broker-dealer
Other names: SUSAN ANN LOMBARDO
IAPD individual key: 3042775

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	Nov 29, 2016	n/a	yes	Westlake, OH	Current employment
FOOTHILL SECURITIES, INC.	Former SEC adviser	Sep 3, 2015	Nov 29, 2016	no	Westlake, OH\|Santa Clara, CA	Previous registration
FINTEGRA, LLC	Former SEC adviser	Mar 11, 2009	Aug 14, 2015	no	MAYFIELD HEIGHTS, OH\|WESTLAKE, OH\|BEACHWOOD, OH	Previous registration
SANDERS MORRIS LLC	Independent wealth	Jun 28, 2006	Mar 2, 2009	no	BEACHWOOD, OH	Previous registration
SMH CAPITAL ADVISORS LLC	Institutional manager	Dec 19, 2005	Dec 31, 2006	no	FORT WORTH, TX	Previous registration
FERRIS, BAKER WATTS, LLC	n/a	Nov 4, 2003	Dec 14, 2005	no	BEACHWOOD, OH	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
FOOTHILL SECURITIES, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Nov 29, 2016	Nov 29, 2016	0	Firm change	Other
FINTEGRA, LLC	FOOTHILL SECURITIES, INC.	Aug 14, 2015	Sep 3, 2015	20	Firm change	Other
SANDERS MORRIS LLC	FINTEGRA, LLC	Mar 2, 2009	Mar 11, 2009	9	Firm change	Other
SMH CAPITAL ADVISORS LLC	SANDERS MORRIS LLC	Dec 31, 2006	Jun 28, 2006	-186	Bulk transfer	Other
FERRIS, BAKER WATTS, LLC	SMH CAPITAL ADVISORS LLC	Dec 14, 2005	Dec 19, 2005	5	Firm change	Other

Relationships

Registered with (6)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Nov 29, 2016 to presentfactForm ADV
→ FOOTHILL SECURITIES, INC.Registered adviserregistration: previous registration
Sep 3, 2015 to Nov 29, 2016factForm ADV
→ FINTEGRA, LLCRegistered adviserregistration: previous registration
Mar 11, 2009 to Aug 14, 2015factForm ADV
→ SANDERS MORRIS LLCRegistered adviserregistration: previous registration
Jun 28, 2006 to Mar 2, 2009factForm ADV
→ SMH CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Dec 19, 2005 to Dec 31, 2006factForm ADV
→ FERRIS, BAKER WATTS, LLCRegistered adviserregistration: previous registration
Nov 4, 2003 to Dec 14, 2005factForm ADV

Dated events

No dated event names this entity yet.