Brian P. Dennen
Professional summary
Brian Patrick Dennen, who also goes by Brian Patrick Dennen, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 18 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Patrick Dennen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Patrick Dennen's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130August 13, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Ste 200, San Diego, CA 92130May 7, 2024 - September 11, 2024
G. A. REPPLE & COMPANY
May 2, 2024 - August 13, 2024
ATOMIC BROKERAGE LLC
April 25, 2024 - August 12, 2024
FIRST AVENUE
June 9, 2020 - September 29, 2023
LPL FINANCIAL LLC
June 9, 2020 - September 29, 2023
LPL FINANCIAL LLC
July 10, 2017 - March 23, 2020
ALLY INVEST ADVISORS
February 22, 2017 - March 9, 2020
ALLY INVEST SECURITIES LLC
November 1, 2012 - November 3, 2016
WEALTHFRONT ADVISERS LLC
January 24, 2012 - July 27, 2016
WEALTHFRONT BROKERAGE LLC
January 23, 2012 - January 23, 2012
LIVEVOL SECURITIES, INC.
July 7, 2010 - January 4, 2012
LIVEVOL SECURITIES, INC.
October 21, 2009 - June 8, 2010
TRANSCEND CAPITAL
December 5, 2008 - October 6, 2009
WINDFALL SECURITIES LLC
June 10, 2008 - December 31, 2008
TERRANOVA CAPITAL EQUITIES, INC
February 17, 2006 - January 14, 2008
URCHIN CAPITAL PARTNERS, LLC
December 6, 2004 - February 17, 2006
TERRA NOVA FINANCIAL, LLC
February 24, 2003 - September 1, 2004
ORION TRADING, LLC
December 3, 2002 - September 1, 2004
REDWOOD TRADING, LLC
July 2, 1999 - January 27, 2003
SHARE KING, 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
(8/12/2024)
(8/13/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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.
