Andrew J. Keane
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.
Andrew James Keane was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1995. Andrew had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2020 - January 23, 2020
INDEPENDENT FINANCIAL GROUP, LLC
January 9, 2019 - September 10, 2019
MORGAN STANLEY
October 26, 2017 - August 31, 2018
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 31, 2016 - March 9, 2017
CITY NATIONAL SECURITIES, INC.
October 31, 2014 - July 29, 2016
SCOTTRADE, INC.
June 19, 2014 - July 23, 2014
RAYMOND JAMES & ASSOCIATES, INC.
March 28, 2011 - June 3, 2013
T. ROWE PRICE INVESTMENT SERVICES, INC.
September 3, 2004 - October 27, 2009
WELLS FARGO INVESTMENTS, LLC
December 3, 2002 - June 11, 2003
COUNTRYWIDE INVESTMENT SERVICES, INC.
December 15, 2000 - November 13, 2002
CHARLES SCHWAB & CO., INC.
July 16, 1999 - March 23, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 1998 - September 21, 1998
CIBC WORLD MARKETS CORP.
April 3, 1998 - June 16, 1998
M.L. STERN & CO., LLC.
January 9, 1998 - March 12, 1998
IMPERIAL CAPITAL, LLC
December 12, 1995 - December 31, 1997
DABNEY/RESNICK/IMPERIAL, 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 | 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.
