Charles R. Henning
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.
Charles Rick Henning was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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
October 19, 2017 - December 31, 2021
INDEPENDENT FINANCIAL GROUP, LLC
October 19, 2017 - December 31, 2021
INDEPENDENT FINANCIAL GROUP, LLC
September 24, 2012 - October 26, 2017
NATIONAL PLANNING CORPORATION
September 24, 2012 - October 26, 2017
NATIONAL PLANNING CORPORATION
April 24, 2008 - September 25, 2012
KOVACK SECURITIES INC.
April 16, 2008 - September 25, 2012
KOVACK ADVISORS, INC.
August 7, 2006 - April 18, 2008
SECURITIES AMERICA ADVISORS, INC.
August 7, 2006 - April 18, 2008
SECURITIES AMERICA, INC.
July 8, 1997 - September 8, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
May 27, 1994 - September 7, 2006
ASSOCIATED SECURITIES CORP.
August 9, 1993 - June 28, 1994
CALIFORNIA ONE INVESTMENTS
May 11, 1993 - August 4, 1993
TITAN/VALUE EQUITIES GROUP, INC.
April 20, 1993 - April 27, 1993
AMERICAN GENERAL SECURITIES 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
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.
