Timothy J. Sagehorn
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.
Timothy J Sagehorn, who also goes by Tim Sagehorn, Timothy John Sagehorn, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1984. Timothy had worked at 5 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2013 - March 19, 2013
INDEPENDENT FINANCIAL GROUP, LLC
November 19, 2010 - March 18, 2011
INDEPENDENT FINANCIAL GROUP, LLC
November 18, 2010 - March 18, 2011
INDEPENDENT FINANCIAL GROUP, LLC
February 27, 2001 - December 23, 2008
UBS FINANCIAL SERVICES INC.
February 16, 2001 - December 23, 2008
UBS FINANCIAL SERVICES INC.
July 31, 1993 - February 28, 2001
CITIGROUP GLOBAL MARKETS INC.
July 18, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
October 26, 1984 - July 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
