David A. Theis

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CRD#: 1422471

Professional summary

David Alan Theis was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David Alan Theis, who also goes by Dave Theis, was a registered financial advisor .

David is a previously registered financial advisor and started their career in finance in 1985. David had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Theis

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 9, 2011 - December 31, 2011

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

BUFFALO, MN

Past

February 14, 2011 - May 15, 2012

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

BUFFALO, MN

Past

February 11, 2011 - March 3, 2011

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

BUFFALO, MN

Past

December 4, 2003 - August 20, 2012

SECURITIES MONITORING GROUP, LLC

RIA

CRD#: 113242

BUFFALO, MN

Past

July 9, 2001 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

BUFFALO, MN

Past

October 13, 1995 - July 5, 2001

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 20, 1985 - October 23, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/1997

General Securities Principal Examination

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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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

624

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A WRAP BROCHURE MARCH 16, 2026 (3/17/2026)

FORM ADV PART 2A MARCH 16, 2026 (3/17/2026)

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David A. Theis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

SECURITIES MONITORING GROUP, LLC

QA3 FINANCIAL CORP.

OSAIC WEALTH, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/19/1985

Series 7

Date: 11/16/1985

Series 24

Date: 4/24/1997

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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