Adviser and broker representative · Independent Financial Group, LLC
Rick A. Willoughby
CRD 1238458 · Phoenix, AZ
At a glance
Rick A. Willoughby is an investment adviser representative with Independent Financial Group, LLC in Phoenix, AZ, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Rick’s SEC record dates to 2004, about 22 years ago. Rick is also registered as a broker representative.
Current advisory firm
- Independent Financial Group, LLCSince October 2005Phoenix, AZ · $13B in regulatory assets
SEC adviser record
- Registered since
- 2004 (22 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Rick’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.