Sheryl J. Mowatt
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.
Sheryl Jean Mowatt, who also goes by Sherry Mowatt, was a registered financial professional .
Sheryl is a previously registered financial professional and started their career in finance in 1991. Sheryl had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2017 - December 31, 2019
INDEPENDENT FINANCIAL GROUP, LLC
August 27, 2014 - July 12, 2017
INDEPENDENT FINANCIAL GROUP, LLC
March 31, 2014 - September 25, 2014
GIRARD SECURITIES, INC.
February 28, 2012 - April 1, 2014
CETERA ADVISORS LLC
January 16, 2003 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
November 16, 1998 - December 31, 2002
SENTRA SECURITIES CORPORATION
February 7, 1995 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
March 30, 1992 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
August 12, 1991 - April 25, 1992
GLOBAL FINANCIAL GROUP, INC.
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
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.
