KB
Kenneth W. Burkett
INDEPENDENT FINANCIAL GROUP
Fresno, CA 93710
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CRD#: 2747448
KB
Professional summary
Kenneth Wayne Burkett, CFP®, who also goes by Kenneth W Burkett, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Fresno, California.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kenneth has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kenneth W Burkett
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) BURKETT FARMS POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2016 ADDRESS: 2185 N Sorona Lane, Fresno CA 93722, United States DESCRIPTION: Farming and Farm management (2) CAPITAL FINANCIAL & INSURANCE SERVICES, INC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 06/24/2016 ADDRESS: 1318 East Shaw Avenue, Suite 200, Fresno CA 93710, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING SECURITIES AND ADVISORY BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Wayne Burkett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Wayne Burkett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2004
Experience
Current
June 24, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1318 East Shaw Avenue Suite 200, Fresno, CA 93710RIA
BD
CRD#: 7717
Fresno, CA
Current
June 24, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1318 East Shaw Avenue Suite 200, Fresno, CA 93710RIA
BD
CRD#: 7717
Fresno, CA
Past
April 18, 2016 - June 27, 2016
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
FRESNO, CA
Past
April 15, 2016 - June 27, 2016
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
FRESNO, CA
Past
May 27, 2008 - March 30, 2016
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
FRESNO, CA
Past
June 11, 2007 - March 30, 2016
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
FRESNO, CA
Past
June 2, 2003 - June 11, 2007
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
FRESNO, CA
Past
January 3, 2002 - June 2, 2003
ARM SECURITIES CORPORATION
BD
CRD#: 932
MINOT, ND
Past
January 5, 2000 - October 5, 2001
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
MADISON, WI
Past
April 9, 1997 - December 22, 1999
SCOTTRADE, INC.
BD
CRD#: 8206
ST. LOUIS, MO
Past
July 9, 1996 - January 14, 1997
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/26/2019)
RR
California(6/24/2016)
IAR
California(6/27/2016)
RR
Colorado(7/6/2022)
RR
Delaware(7/16/2019)
RR
Florida(6/8/2018)
RR
Hawaii(9/19/2016)
RR
Idaho(6/24/2016)
RR
Indiana(1/13/2023)
RR
Iowa(6/24/2016)
RR
Missouri(6/10/2019)
RR
Nevada(8/7/2017)
RR
New York(5/14/2019)
RR
Oklahoma(7/19/2016)
RR
Oregon(6/24/2016)
RR
Tennessee(12/6/2024)
IAR
Texas(6/24/2016)
RR
Texas(6/27/2016)
RR
Utah(1/11/2021)
RR
Vermont(6/11/2019)
RR
Virginia(9/8/2023)
RR
Washington(6/24/2016)
RR
Wisconsin(5/1/2018)
RR
Wyoming(12/10/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
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.
