Thomas J. Neil
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.
Thomas James Neil, who also goes by Thomas Neil, Tom Neil, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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
Experience
April 27, 2006 - August 10, 2015
INDEPENDENT FINANCIAL GROUP, LLC
March 22, 2004 - August 10, 2015
INDEPENDENT FINANCIAL GROUP, LLC
January 1, 1999 - May 17, 2004
SENTRA SECURITIES CORPORATION
November 16, 1998 - May 17, 2004
SENTRA SECURITIES CORPORATION
July 8, 1997 - May 1, 2006
TJN INVESTMENT ADVISORS, INC.
December 6, 1993 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
June 10, 1992 - November 23, 1993
AMERICAN GENERAL EQUITY SERVICES CORPORATION
March 28, 1988 - December 31, 1990
MUTUAL SERVICE CORPORATION
June 5, 1986 - April 6, 1988
CAPITAL GROWTH RESOURCES
December 10, 1985 - May 23, 1986
SENTRA SECURITIES CORPORATION
January 11, 1984 - January 21, 1986
VALUE EQUITIES CORPORATION
June 28, 1983 - January 9, 1984
CAPITAL GROWTH RESOURCES
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.
