Jose A. Hizon
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.
Jose Alberto Hizon, who also goes by Joe Hizon, Joe ^ Hizon ^, Joey ^ Hizon ^, Joey Hizon, Jose A Hizon, Jose Hizon, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1993. Jose had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2012 - December 16, 2016
INDEPENDENT FINANCIAL GROUP, LLC
August 28, 2012 - December 16, 2016
INDEPENDENT FINANCIAL GROUP, LLC
September 15, 2009 - November 3, 2010
PRUCO SECURITIES, LLC.
August 28, 2009 - November 3, 2010
PRUCO SECURITIES, LLC.
November 11, 2008 - March 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2008 - March 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2008 - November 17, 2008
NEWPORT COAST SECURITIES, INC.
May 29, 2008 - November 17, 2008
NEWPORT COAST SECURITIES, INC.
January 14, 2008 - June 11, 2008
B. RILEY WEALTH ADVISORS, INC.
July 10, 2007 - June 11, 2008
NATIONAL SECURITIES CORPORATION
January 17, 2007 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
August 28, 2003 - March 14, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 29, 1998 - August 14, 2001
CENTAURUS FINANCIAL, INC.
November 15, 1995 - May 28, 1997
HORNOR, TOWNSEND & KENT, LLC
April 20, 1994 - September 6, 1995
WMA SECURITIES, INC.
August 13, 1993 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
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.
