Janice R. Kevari
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.
Janice Ragna Kevari, who also goes by Janice Ragna Kevari, Janice Kevari, was a registered financial professional .
Janice is a previously registered financial professional and started their career in finance in 1987. Janice had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2022 - November 17, 2023
INDEPENDENT FINANCIAL GROUP, LLC
March 7, 2022 - November 17, 2023
INDEPENDENT FINANCIAL GROUP, LLC
March 9, 2021 - May 6, 2021
OSAIC SERVICES, INC.
December 10, 2020 - May 6, 2021
OSAIC SERVICES, INC.
May 4, 2005 - February 19, 2016
SCOTTRADE, INC.
September 30, 1993 - April 19, 2005
CHARLES SCHWAB & CO., INC.
April 19, 1993 - August 26, 1993
SUNAMERICA SECURITIES, INC.
February 5, 1990 - February 22, 1993
MORGAN STANLEY DW INC.
March 17, 1988 - February 5, 1990
INDEX SECURITIES, INC.
November 25, 1987 - February 8, 1988
INTERFIRST CAPITAL CORPORATION
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
Series 7TO
Date: 12/10/2020
General Securities Representative ExaminationSeries 8
Date: 5/8/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
