David S. Mowatt
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.
David Scott Mowatt, who also goes by Dave Mowatt, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 13 firms and has passed the 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
Experience
July 25, 2018 - March 25, 2020
INDEPENDENT FINANCIAL GROUP, LLC
July 24, 2018 - March 25, 2020
INDEPENDENT FINANCIAL GROUP, LLC
July 7, 2017 - July 24, 2018
FIRST ALLIED ADVISORY SERVICES, INC.
July 7, 2017 - July 24, 2018
FIRST ALLIED SECURITIES, INC.
August 27, 2014 - July 12, 2017
INDEPENDENT FINANCIAL GROUP, LLC
August 27, 2014 - July 12, 2017
INDEPENDENT FINANCIAL GROUP, LLC
March 31, 2014 - September 25, 2014
GIRARD SECURITIES, INC.
March 31, 2014 - September 25, 2014
GIRARD SECURITIES, INC.
February 28, 2012 - April 1, 2014
CETERA ADVISORS LLC
February 28, 2012 - April 1, 2014
CETERA ADVISORS LLC
October 5, 2004 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
January 16, 2003 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
January 1, 1999 - December 31, 2002
SENTRA SECURITIES CORPORATION
January 1, 1999 - October 4, 2004
MOWATT FINANCIAL ADVISORS, LLC
November 16, 1998 - December 31, 2002
SENTRA SECURITIES CORPORATION
February 22, 1995 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
March 26, 1992 - February 9, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
August 25, 1989 - April 27, 1992
GLOBAL FINANCIAL GROUP, INC.
August 8, 1985 - August 30, 1989
CONSOLIDATED INVESTMENT SERVICES, INC.
March 15, 1984 - August 23, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
June 22, 1983 - January 12, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
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.
