Clifford E. Fellows
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.
Clifford E Fellows, who also goes by Clifford Eugene Fellows, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1974. Clifford had worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 1 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
August 17, 2009 - December 31, 2020
INDEPENDENT FINANCIAL GROUP, LLC
August 17, 2009 - December 31, 2020
INDEPENDENT FINANCIAL GROUP, LLC
August 16, 2007 - August 19, 2009
OSAIC SERVICES, INC.
January 14, 2002 - August 22, 2007
MUTUAL SERVICE CORPORATION
March 31, 1999 - August 22, 2007
MUTUAL SERVICE CORPORATION
November 10, 1986 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
January 25, 1982 - November 20, 1986
BOARDWALK CAPITAL CORPORATION
January 13, 1981 - January 25, 1982
SAINT ANTHONY SECURITIES, INC.
June 13, 1974 - January 13, 1978
TCA MANAGEMENT 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: 8/30/2023
General Securities Representative ExaminationSeries 1
Date: 6/10/1974
Registered Representative ExaminationCurrent 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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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.
