William H. Seals
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.
William Harlan Seals was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 12 firms and has passed the Series 63, Series 7, Series 62 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
April 18, 2000 - August 18, 2000
INDEPENDENT FINANCIAL GROUP, LLC
January 20, 2000 - April 11, 2000
NATIONAL CAPITAL SECURITIES, INC.
March 22, 1999 - November 8, 1999
EQUITY TRUST ADVISORS, INC.
August 20, 1998 - March 3, 1999
TRADEWAY SECURITIES GROUP, INC.
April 17, 1996 - July 28, 1998
E*OFFERING
October 6, 1994 - March 26, 1996
ROTH CAPITAL PARTNERS, LLC
April 21, 1994 - June 10, 1994
TEXAS CAPITAL SECURITIES, INC.
June 18, 1993 - April 11, 1994
MONTANO SECURITIES CORPORATION
October 8, 1992 - July 7, 1993
AMERSTOCK CORPORATION
January 15, 1992 - January 22, 1992
H.J. MEYERS & CO., INC.
December 10, 1991 - October 1, 1992
INTERFIRST CAPITAL CORPORATION
August 12, 1991 - April 1, 1992
H.K. FREELAND & COMPANY, 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
Series 62
Date: 8/6/1991
Corporate Securities Limited 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.
