James H. Macdonald Iii
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.
James Howard Macdonald Iii, who also goes by James H III Macdonald, James Howard Macdonald, Jim Macdonald, James Howard Macdonald III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 13 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 14 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
May 26, 2020 - November 5, 2021
INDEPENDENT FINANCIAL GROUP, LLC
May 26, 2020 - November 5, 2021
INDEPENDENT FINANCIAL GROUP, LLC
September 18, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
September 18, 2018 - April 24, 2020
CETERA INVESTMENT SERVICES LLC
September 18, 2018 - April 24, 2020
CETERA FINANCIAL SPECIALISTS LLC
September 18, 2018 - April 24, 2020
CETERA ADVISORS LLC
September 18, 2018 - April 24, 2020
CETERA WEALTH SERVICES, LLC
February 15, 2017 - April 24, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
February 15, 2017 - April 24, 2020
FIRST ALLIED SECURITIES, INC.
May 14, 2010 - November 18, 2015
LPL FINANCIAL LLC
March 4, 2008 - November 18, 2015
LPL FINANCIAL LLC
August 16, 2006 - October 16, 2006
COMMONWEALTH FINANCIAL NETWORK
June 1, 1998 - January 24, 2002
TD AMERITRADE, INC.
March 18, 1997 - June 1, 1998
JACK WHITE & COMPANY, INC.
July 19, 1995 - October 24, 1995
CHATFIELD DEAN & CO., 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 99TO
Date: 1/2/2023
Operations Professional 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 | 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.
