Judith F. Tronsrue
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Judith French Tronsrue, CFP®, who also goes by Judith Kay French, Judith French Grubb, Judith French Lowe, Judith Kay Tronsrue, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1982. Judith had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
October 21, 2005 - December 31, 2020
INDEPENDENT FINANCIAL GROUP, LLC
November 15, 2004 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
November 15, 2004 - December 31, 2020
INDEPENDENT FINANCIAL GROUP, LLC
June 3, 2003 - November 19, 2004
SUNAMERICA SECURITIES, INC.
January 16, 2000 - June 4, 2003
SENTRA SECURITIES CORPORATION
June 22, 1992 - June 4, 2003
SENTRA SECURITIES CORPORATION
December 14, 1984 - June 4, 1992
LPL FINANCIAL LLC
March 21, 1983 - June 4, 1992
LPL FINANCIAL LLC
February 2, 1982 - December 27, 1983
WZW FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
