JN
Jeffrey R. Nesseth
INDEPENDENT FINANCIAL GROUP
Seneca, SC
Some features on this profile are disabled
CRD#: 1983482
JN
Professional summary
Jeffrey Reed Nesseth, who also goes by Jeffrey Nesseth, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Seneca, South Carolina.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Jeffrey has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey Nesseth
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) CONSULTING POSITION: Officer/Director NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2003 ADDRESS: 418 E Waterside Drive, Seneca SC 29672, United States DESCRIPTION: (3) BUSINESS CONSULTANT PROVIDING BUSINESS CONSULTING SERVICES OUTSIDE THE SCOPE OF THE ADVISOR/CLIENT RELATIONSHIP FOR A FEE AND/OR REFERRAL FEE SINCE 2011. NON-INVESTMENT RELATED. APPROXIMATELY 1% TIME SPENT. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. Also sell Health Insurance thru this consulting (2) MAIN STREET INVESTMENT MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 09/01/2003 ADDRESS: 6417 Rockbluff Circle, Plano TX 75024, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (3) FOOD SERVICE POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/17/2020 ADDRESS: 6417 Rockbluff Circle, Plano TX 75024, United States DESCRIPTION: Head Cook and Marketing guy (4) US PREVENTIVE MEDICINE POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2015 ADDRESS: 6417 Rockbluff Circle, Plano TX 75024, United States DESCRIPTION: MEMBER OF THE BOARD OF DIRECTORS (5) ICEBERG COOLERS POSITION: Agent/Representative NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 8 START DATE: 05/01/2021 ADDRESS: 6417 Rockbluff Circle, Plano TX 75024, United States DESCRIPTION: Working to help sell the IceBurg Cooler at sporting events and to Car Dealers (6) COLLINS CHILDREN HOME POSITION: Board Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2024 ADDRESS: 110 Collins Home Drive, Seneca SC 29672, United States DESCRIPTION: Active member on the Board
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Reed Nesseth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Reed Nesseth'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
October 24, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Seneca, SC
Current
October 21, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Seneca, SC
Past
July 18, 2011 - October 26, 2011
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
SCHAUMBURG, IL
Past
June 28, 2011 - October 26, 2011
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
ATLANTA, GA
Past
February 28, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
SAN DIEGO, CA
Past
February 9, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SAN DIEGO, CA
Past
February 2, 2011 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
ATLANTA, GA
Past
January 28, 2009 - September 30, 2011
FIDUCIARY SOLUTIONS, LLC
RIA
CRD#: 148118
ATLANTA, GA
Past
May 14, 2004 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
ATLANTA, GA
Past
September 10, 2003 - May 13, 2004
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
September 6, 2002 - September 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 25, 1990 - September 4, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
California(10/21/2011)
RR
Colorado(11/30/2011)
RR
Florida(10/21/2011)
RR
Georgia(10/21/2011)
RR
Illinois(10/21/2011)
RR
Missouri(11/22/2011)
RR
Nevada(12/15/2023)
RR
North Carolina(9/6/2022)
RR
Ohio(3/26/2019)
RR
South Carolina(9/2/2022)
IAR
South Carolina(8/8/2023)
RR
Texas(10/21/2011)
IAR
Texas(9/7/2012)
RR
Utah(1/9/2017)
RR
Washington(5/22/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
