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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

TIMOTHY THOMAS TRACY

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

Prescott Valley, AZ

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Search this name across graphsid dfx:ria:f70838eb-1792-a1c5-4cd2-cd63b09326b3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 12, 1999 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: Jul 14, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jul 14, 1987
First registration: Jan 12, 1999
Dual registered: yes, broker-dealer
Other names: TIM TRACY
IAPD individual key: 1629392

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	Jul 15, 2022	n/a	yes	Prescott Valley, AZ	Current employment
NPB FINANCIAL GROUP, LLC	Former SEC adviser	Aug 10, 2009	Jul 15, 2022	no	Prescott Valley, AZ	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Jun 25, 2003	Aug 12, 2009	no	RIVERSIDE, CA	Previous registration
ASSOCIATED SECURITIES CORP.	n/a	Jun 25, 2003	Aug 12, 2009	no	RIVERSIDE, CA\|YUCAIPA, CA\|RIVERSIDE, CA	Previous registration
SENTRA SECURITIES CORPORATION	n/a	Jan 12, 1999	Jun 27, 2003	no	RIVERSIDE, 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
NPB FINANCIAL GROUP, LLC	INDEPENDENT FINANCIAL GROUP, LLC	Jul 15, 2022	Jul 15, 2022	0	Firm change	RIA to ibd
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	NPB FINANCIAL GROUP, LLC	Aug 12, 2009	Aug 10, 2009	-2	Firm change	Other
ASSOCIATED SECURITIES CORP.	ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	Aug 12, 2009	Jun 25, 2003	-2,240	Firm change after gap	Other
SENTRA SECURITIES CORPORATION	ASSOCIATED SECURITIES CORP.	Jun 27, 2003	Jun 25, 2003	-2	Firm change	Other

Relationships

Registered with (5)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Jul 15, 2022 to presentfactForm ADV
→ NPB FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Aug 10, 2009 to Jul 15, 2022factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Jun 25, 2003 to Aug 12, 2009factForm ADV
→ ASSOCIATED SECURITIES CORP.Registered adviserregistration: previous registration
Jun 25, 2003 to Aug 12, 2009factForm ADV
→ SENTRA SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jan 12, 1999 to Jun 27, 2003factForm ADV

Dated events

Occurred
Jul 15, 2022
Advisor changed firm
Timothy Thomas Tracy left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)
Form ADVobserved 4 days ago