Robert J. Oefinger
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.
Robert J Oefinger, who also goes by Robert Joseph Oefinger, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2020 - November 9, 2022
INDEPENDENT FINANCIAL GROUP, LLC
July 17, 2017 - October 23, 2018
OSAIC FA, INC.
July 14, 2017 - October 23, 2018
OSAIC FA, INC.
July 1, 2016 - July 13, 2016
OSAIC INSTITUTIONS, INC.
July 1, 2016 - July 13, 2016
OSAIC INSTITUTIONS, INC.
October 22, 2008 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
October 22, 2008 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
January 4, 2007 - July 20, 2007
LEGACY ADVISORY SERVICES, INC.
February 19, 2004 - July 20, 2007
LEGACY FINANCIAL SERVICES, INC.
June 26, 2000 - January 14, 2003
ROUND HILL SECURITIES, INC.
February 23, 2000 - March 2, 2000
AMERICAN CENTURY BROKERAGE, INC.
July 12, 1999 - October 4, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 28, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
July 29, 1996 - September 4, 1997
MORGAN STANLEY DEAN WITTER ONLINE INC.
March 17, 1994 - June 17, 1996
ACUMENT SECURITIES, INC.
July 31, 1993 - August 29, 1994
CITIGROUP GLOBAL MARKETS INC.
August 24, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
April 9, 1992 - July 28, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 5/14/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
