KA
Kent R. Alston
INDEPENDENT FINANCIAL GROUP
Sacramento, CA
Some features on this profile are disabled
CRD#: 1296325
KA
Professional summary
Kent Randall Alston, who also goes by Randy Alston, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Sacramento, California.
Kent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kent has worked at 5 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Alston
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) ARDEN TAX SERVICE POSITION: OWNER NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 08/01/1985 ADDRESS: 868 Wixford Way, Sacramento CA 95864-6139, United States DESCRIPTION: TAX SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Kent Randall Alston's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kent Randall Alston'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®
NoneExperience
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sacramento, CA
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sacramento, CA
Past
July 23, 2014 - July 15, 2022
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
Sacramento, CA
Past
July 22, 2014 - July 15, 2022
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
Sacramento, CA
Past
March 4, 1998 - July 18, 2014
FOOTHILL SECURITIES, INC.
RIA
CRD#: 1027
DAVIS, CA
Past
December 23, 1992 - July 18, 2014
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
DAVIS, CA
Past
November 28, 1984 - December 23, 1992
G. W. STORY & ASSOCIATES, INC.
BD
CRD#: 6277
SACRAMENTO, CA
Past
August 22, 1984 - October 16, 1984
EQUITEC SECURITIES COMPANY
BD
CRD#: 6463
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
California(7/15/2022)
IAR
California(7/15/2022)
Exams
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
