Orville L. Mccumber
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.
Orville Laverne Mccumber JR, who also goes by Butch Mccumber, was a registered financial professional .
Orville is a previously registered financial professional and started their career in finance in 1987. Orville had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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
May 19, 2010 - December 31, 2016
INDEPENDENT FINANCIAL GROUP, LLC
May 19, 2010 - December 31, 2016
INDEPENDENT FINANCIAL GROUP, LLC
January 11, 2007 - April 29, 2010
AFA ADVISOR SERVICES LLC
December 1, 2006 - April 29, 2010
AFA FINANCIAL GROUP, LLC
January 2, 2004 - February 12, 2008
THE PLANNERS NETWORK, INC.
March 15, 2002 - September 29, 2003
THE PLANNERS NETWORK, INC.
March 22, 2000 - December 1, 2006
NATIONAL PLANNING CORPORATION
June 2, 1998 - March 23, 2000
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 17, 1995 - February 10, 1999
ASSOCIATED PLANNERS SECURITIES CORPORATION OF NEVADA, INC.
February 14, 1995 - June 1, 1998
ASSOCIATED SECURITIES CORP.
July 29, 1992 - February 13, 1995
CITICORP INVESTMENT SERVICES
April 16, 1991 - July 27, 1992
CAPITAL BROKERAGE CORPORATION
March 14, 1990 - February 7, 1991
NYLIFE SECURITIES LLC
May 15, 1989 - February 27, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 15, 1989 - February 27, 1990
EQUITABLE ADVISORS, LLC
March 14, 1989 - June 13, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 14, 1989 - June 13, 1989
PRUCO SECURITIES, LLC.
February 26, 1987 - September 11, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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.
