Rey K. Frimmersdorf

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CRD#: 214866

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.

Rey Keith Frimmersdorf was a registered financial professional .

Rey is a previously registered financial professional and started their career in finance in 1968. Rey had worked at 16 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 13, 2018 - February 13, 2020

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

RIA

CRD#: 135288

Santa Rosa, CA

Past

November 12, 2018 - February 13, 2020

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288

Santa Rosa, CA

Past

January 4, 2018 - November 12, 2018

COLONY PARK FINANCIAL SERVICES LLC.

RIA

CRD#: 41534

Santa Rosa, CA

Past

December 14, 2017 - November 12, 2018

SANDLAPPER SECURITIES, LLC

CRD#: 137906

GREENVILLE, SC

Past

April 18, 2017 - December 14, 2017

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SANTA ROSA, CA

Past

July 26, 2005 - December 14, 2017

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SANTA ROSA, CA

Past

April 22, 2003 - July 26, 2005

WHITEHALL-PARKER SECURITIES, INC.

CRD#: 10608

SAN RAFAEL, CA

Past

November 8, 2002 - January 2, 2003

PASSCO CAPITAL, INC.

CRD#: 117323

IRVINE, CA

Past

February 1, 1996 - September 4, 2002

WHITEHALL-PARKER SECURITIES, INC.

CRD#: 10608

SAN RAFAEL, CA

Past

January 1, 1994 - November 1, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 3, 1991 - January 1, 1994

CYPRESS CAPITAL CORPORATION

CRD#: 7919

Past

March 29, 1985 - April 29, 1985

WAKEFIELD SECURITIES CORPORATION

CRD#: 14453

Past

June 19, 1979 - November 14, 1980

PLANNED INVESTMENTS INC.

CRD#: 5066

Past

November 29, 1976 - May 14, 1991

BENEFIT PLAN SECURITIES, INC.

CRD#: 6785

Past

August 2, 1974 - March 10, 1979

DAVE FRIES AND ASSOCIATES

CRD#: 1917

Past

October 11, 1973 - September 3, 1974

GARDINER, GRIES & CO.

CRD#: 1892

Past

August 17, 1972 - November 9, 1973

WALDRON & CO., INC.

CRD#: 868

Past

January 7, 1971 - September 17, 1972

MASON BROTHERS

CRD#: 559

Past

January 30, 1968 - January 31, 1971

WALDRON AND CO INC

CRD#: 1000001

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".

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288 / SEC#: 801-69138, 8-66905

RIA

Registered Investment Advisory firm - SEC (5/27/2008 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

California

Registered Investment Advisory firm - SEC (6/4/2008 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/3/2008 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/11/2008 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/5/2008 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/16/2008 Terminated)

Montana

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Nevada

Registered Investment Advisory firm - SEC (7/8/2008 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Oregon

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/13/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 1/25/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 12/12/1978

Registered Principal Examination

Current Firm

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288 / SEC#: 801-69138, 8-66905

RIA

Registered Investment Advisory firm - SEC (5/27/2008 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

California

Registered Investment Advisory firm - SEC (6/4/2008 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/3/2008 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/11/2008 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/5/2008 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/16/2008 Terminated)

Montana

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Nevada

Registered Investment Advisory firm - SEC (7/8/2008 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Oregon

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

664 S Rivershore Lane Suite 150, Eagle, ID 83616

Mailing Address

Po Box 579, Eagle, ID 83616

Phone number

(208) 489-3131

Established

Idaho since 12/30/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (49 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV2A - AMENDED 11/6/2025 (11/6/2025)

Direct owners and executive officers

Name	Position	CRD#
CARLSON, RYAN SHANE	MEMBER, CEO	4209072
FAXON, REYHEENA MARIA	PRINCIPAL, FINOP	4219599
KERBEIN, SHEILA A	PRINCIPAL, CHIEF COMPLIANCE OFFICER	5571772
THOMAS, JOSEPH ALLISON JR	MUNICIPAL PRICIPAL,REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ,MEMBER	1484206

Regulatory assets under management

Total Number of Accounts	2,987
AUM (Assets Under Management)	$ 604,888,609

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Rey K. Frimmersdorf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

COLONY PARK FINANCIAL SERVICES LLC.

SANDLAPPER SECURITIES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

WHITEHALL-PARKER SECURITIES, INC.

PASSCO CAPITAL, INC.

WHITEHALL-PARKER SECURITIES, INC.

OSAIC WEALTH, INC.

CYPRESS CAPITAL CORPORATION

WAKEFIELD SECURITIES CORPORATION

PLANNED INVESTMENTS INC.

BENEFIT PLAN SECURITIES, INC.

DAVE FRIES AND ASSOCIATES

GARDINER, GRIES & CO.

WALDRON & CO., INC.

MASON BROTHERS

WALDRON AND CO INC

Primary Firm SEC Registration

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/2016

SIE

Date: 10/1/2018

Series 1

Date: 1/25/1968

Series 40

Date: 12/12/1978

Current Firm

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

TRUST BUT VERIFY

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