Gene D. Larson
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.
Gene David Larson, CFP® was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1986. Gene had worked at 12 firms and has passed the Series 66, 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
Start date: 1986
Experience
July 15, 2022 - May 31, 2024
INDEPENDENT FINANCIAL GROUP, LLC
July 15, 2022 - May 31, 2024
INDEPENDENT FINANCIAL GROUP, LLC
April 21, 2020 - July 15, 2022
NPB FINANCIAL GROUP, LLC
April 20, 2020 - July 15, 2022
NPB FINANCIAL GROUP, LLC
November 2, 2018 - December 31, 2019
OSAIC WEALTH, INC.
November 2, 2018 - December 31, 2019
OSAIC WEALTH, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
October 26, 2010 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 26, 2010 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 27, 2008 - November 24, 2008
RICE BROWN FINANCIAL SERVICES
January 17, 2008 - October 27, 2008
RICE BROWN FINANCIAL SERVICES
December 3, 2007 - October 18, 2010
NEXT FINANCIAL GROUP, INC.
December 3, 2007 - October 18, 2010
NEXT FINANCIAL GROUP, INC.
February 21, 2001 - December 13, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 1997 - December 13, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 16, 1995 - January 27, 1997
OSAIC WEALTH, INC.
March 1, 1995 - June 5, 1995
ADVANTAGE CAPITAL CORPORATION
August 31, 1994 - March 14, 1995
INVESTORS BROKERAGE SERVICES, INC.
August 15, 1994 - September 8, 1994
ADVANTAGE CAPITAL CORPORATION
February 17, 1988 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
January 22, 1986 - October 19, 1987
ASSOCIATED SECURITIES CORP.
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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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.
