DS
Dan E. Sanders
INDEPENDENT FINANCIAL GROUP
HOUSTON, TX 77024
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CRD#: 1785159
DS
Dan Eugene SandersINDEPENDENT FINANCIAL GROUP
Professional summary
Dan Eugene Sanders, who also goes by Daniel E Sanders, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Houston, Texas.
Dan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Dan has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Daniel E Sanders
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.
(1) SANDERS CAREER CONSULTING POSITION: Officer/Director NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/18/2018 ADDRESS: 5100 Westheimer Rd, 200, houston TX 77056, United States DESCRIPTION: 100% OWNER OF DBA SANDERS CAREER CONSULTING OFFERING JOB ADVICE AND COACHING (2) SANDERS FINANCIAL POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/07/2020 ADDRESS: 5100 Westheimer, Ste. 200, Houston TX 77056, United States DESCRIPTION: DBA used for marketing securities business (3) EXECUTIVE WEALTH MANAGEMENT POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 140 START DATE: 10/05/2006 ADDRESS: 9219 katy freeway, Ste. 106, Houston TX 77024, United States DESCRIPTION: Financial Advisory, commission and all financials associated services with IFG, Pershing LLC an other custodians, products that I will offer my clients and prospects will be conducted under this company Executive Wealth Management..
CRS (Client Relationship Summary) - RIA
Click below to view Dan Eugene Sanders's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dan Eugene Sanders's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 4, 2014 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 9219 Katy Freeway Suite 106, Houston, TX 77024RIA
BD
CRD#: 7717
HOUSTON, TX
Current
December 4, 2014 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 9219 Katy Freeway Suite 106, Houston, TX 77024RIA
BD
CRD#: 7717
HOUSTON, TX
Past
August 1, 2013 - December 26, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
HOUSTON, TX
Past
August 1, 2013 - December 26, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
HOUSTON, TX
Past
April 14, 2011 - August 1, 2013
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
HOUSTON, TX
Past
April 14, 2011 - August 1, 2013
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
HOUSTON, TX
Past
October 16, 2006 - April 18, 2011
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
HOUSTON, TX
Past
October 6, 2006 - April 18, 2011
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
HOUSTON, TX
Past
September 30, 2005 - August 10, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
September 30, 2005 - August 10, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 18, 2004 - October 4, 2005
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HOUSTON, TX
Past
October 15, 2004 - October 4, 2005
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
July 16, 1998 - September 8, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
July 16, 1998 - September 8, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 18, 1997 - July 16, 1998
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 27, 1991 - December 31, 1992
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
April 3, 1989 - February 14, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 20, 1988 - March 20, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
July 27, 1988 - August 5, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
July 27, 1988 - September 22, 1988
GRAYSTONE NASH, INC.
BD
CRD#: 10635
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
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/21/2018)
RR
Massachusetts(7/17/2018)
RR
Texas(12/4/2014)
IAR
Texas(12/4/2014)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
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)
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 | 16 |
| 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.
