John I. Snyder
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.
John I Snyder JR, who also goes by John I Snyder, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 13 firms and has passed the Series 66, 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
June 9, 2011 - September 24, 2018
INDEPENDENT FINANCIAL GROUP, LLC
June 9, 2011 - September 24, 2018
INDEPENDENT FINANCIAL GROUP, LLC
May 10, 2010 - June 29, 2011
CAPITAL GUARDIAN, LLC
May 5, 2010 - June 29, 2011
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
April 11, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 1, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 23, 2005 - December 14, 2005
TRUIST INVESTMENT SERVICES, INC.
May 23, 2005 - December 14, 2005
TRUIST INVESTMENT SERVICES, INC.
March 3, 2004 - June 9, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - June 9, 2005
WELLS FARGO CLEARING SERVICES, LLC
November 23, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
April 29, 1998 - November 25, 1998
BARRON CHASE SECURITIES, INC.
December 23, 1996 - May 5, 1998
A. G. EDWARDS & SONS, INC.
January 24, 1994 - January 20, 1997
CIBC WORLD MARKETS CORP.
July 31, 1993 - February 3, 1994
CITIGROUP GLOBAL MARKETS INC.
October 5, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
June 5, 1992 - July 29, 1992
CHELSEA STREET SECURITIES, 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 | 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.
