RW
Robert F. Whitman
INDEPENDENT FINANCIAL GROUP
Metairie, LA
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CRD#: 1055348
RW
Professional summary
Robert Francis Whitman JR, CFP®, who also goes by Bob Whitman, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Metairie, Louisiana.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Robert has worked at 8 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Whitman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/1980 ADDRESS: 1801 Transcontinental, Metairie LA 70001, United States DESCRIPTION: Insurance Agent (2) ARCHBISHOP RUMMEL HIGH SCHOOL POSITION: Employee NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 08/01/1983 ADDRESS: 1901 Severn Ave, Mataire LA 70001, United States DESCRIPTION: Mentor teachers in their career courses, coordinate outreach programs, counsel students (3) YOUTH REBUILDING NEW ORLEANS INC. POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2007 ADDRESS: 1933 Hope Street, New Orleans LA 70119, United States DESCRIPTION: Board president (4) TAX PREPARER POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2005 ADDRESS: 1801 Transcontinental, Metairie LA 70001, United States DESCRIPTION: Assist senior clients and family with income tax forms as a complimentary service (5) TOROSO FINANCIAL GROUP POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 08/01/2021 ADDRESS: 1801 Transcontinental, Metairie LA 70001, United States DESCRIPTION: Registered Representative at DBA used for marketing purposes (6) TESTAMENTARY EXECUTOR FOR MIRIAM BENSON WHITMAN SUCCESSION POSITION: Testamentary Executor for Miriam Benson Whitman, mother of Robert Whitman, Jr. NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/29/2017 ADDRESS: 1801 Transcontinental, Metairie LA 70001, United States DESCRIPTION: Testamentary Executor for mother, Miriam Benson Whitman.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Francis Whitman JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Francis Whitman JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
August 3, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Metairie, LA
Current
August 3, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Metairie, LA
Past
November 1, 2017 - August 6, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
METAIRIE, LA
Past
November 1, 2017 - August 6, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
METAIRIE, LA
Past
March 21, 2014 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
METAIRIE, LA
Past
April 1, 2010 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
METAIRIE, LA
Past
October 31, 2005 - April 6, 2010
OSAIC SERVICES, INC.
BD
CRD#: 133763
MANDEVILLE, LA
Past
June 15, 1998 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
April 1, 1985 - July 10, 1998
HANOVER INVESTMENT SECURITIES, INC.
BD
CRD#: 10983
MADISONVILLE, LA
Past
July 23, 1984 - February 19, 1985
PW SECURITIES, INC.
BD
CRD#: 6775
Past
July 12, 1982 - July 27, 1984
PFS INVESTMENTS INC.
BD
CRD#: 10111
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(8/3/2021)
RR
Louisiana(8/3/2021)
IAR
Louisiana(8/3/2021)
Exams
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
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.
