WF
W.michael Fruth
INDEPENDENT FINANCIAL GROUP
Littleton, CO 80120
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CRD#: 1973247
WF
Professional summary
W.michael Fruth, who also goes by Michael Fruth, W Michael Fruth, Walter Michael Fruth, Walter Fruth, is a registered financial professional currently at INDEPENDENT FINANCIAL GROUP, LLC located in Littleton, Colorado.
W.michael is registered as a RR (Registered Representative) and started their career in finance in 1993. W.michael has worked at 7 firms and has passed the Series 63, SIE, Series 6, Series 62, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Fruth | W Michael Fruth | Walter Michael Fruth | Walter Fruth
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.
CRS (Client Relationship Summary) - BD
Click below to view W.michael Fruth'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
September 22, 2006 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 26 West Dry Creek Circle Suite 600, Littleton, CO 80120Office #2: 11400 West Olympic Blvd Ste. 200-87, Los Angeles, CA 90064RIA
BD
CRD#: 7717
Littleton, CO
Past
October 31, 2005 - October 10, 2006
OSAIC SERVICES, INC.
BD
CRD#: 133763
LITTLETON, CO
Past
March 19, 1998 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
January 20, 1998 - April 23, 1998
SPECTRUM SECURITIES, INC.
BD
CRD#: 29305
AROURA HILLS, CA
Past
May 18, 1995 - December 12, 1997
CAPITAL MARKETS GROWTH CORPORATION
BD
CRD#: 36302
VENTURA, CA
Past
May 18, 1994 - April 25, 1995
COLUMBUS FINANCIAL, INC.
BD
CRD#: 22709
BEVERLY HILLS, CA
Past
March 18, 1993 - February 24, 1994
LAZAR FREDERICK & COMPANY
BD
CRD#: 15615
BEVERLY HILLS, CA
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.
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(9/22/2006)
RR
Arkansas(3/9/2023)
RR
California(9/22/2006)
RR
Colorado(9/22/2006)
RR
Connecticut(3/13/2015)
RR
Florida(9/22/2006)
RR
Georgia(5/10/2018)
RR
Illinois(9/22/2006)
RR
Indiana(9/22/2006)
RR
Michigan(2/3/2016)
RR
Missouri(1/2/2018)
RR
Nevada(9/22/2006)
RR
North Carolina(10/8/2013)
RR
Ohio(1/4/2019)
RR
Oklahoma(9/24/2018)
RR
Pennsylvania(1/2/2024)
RR
South Carolina(9/22/2006)
RR
South Dakota(3/31/2021)
RR
Texas(9/22/2006)
RR
Washington(11/4/2011)
RR
Wisconsin(5/14/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/6/1995
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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
622
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.
