Patrick L. Hamilton
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.
Patrick Lee Hamilton was a registered financial advisor .
Patrick is a previously registered financial advisor and started their career in finance in 1984. Patrick had worked at 10 firms and has passed the Series 65, 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
September 10, 2013 - August 3, 2015
INDEPENDENT FINANCIAL GROUP, LLC
August 30, 2013 - August 3, 2015
INDEPENDENT FINANCIAL GROUP, LLC
October 29, 2009 - August 30, 2013
GENEOS WEALTH MANAGEMENT, INC.
October 14, 2009 - August 30, 2013
GENEOS WEALTH MANAGEMENT, INC.
July 9, 2008 - October 2, 2009
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 30, 2008 - October 2, 2009
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 27, 2008 - June 30, 2008
CETERA ADVISORS LLC
August 31, 1990 - January 6, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 8, 1989 - September 6, 1990
SOARES FINANCIAL GROUP, INC.
April 5, 1989 - September 11, 1989
EMMETT A LARKIN COMPANY, INC.
February 4, 1987 - April 13, 1989
H.J. MEYERS & CO., INC.
October 17, 1985 - December 12, 1986
H.J. MEYERS & CO., INC.
November 21, 1984 - October 25, 1985
FIRST JERSEY SECURITIES, INC.
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.
