Rudolph W. Petersen
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.
Rudolph William Petersen JR was a registered financial professional .
Rudolph is a previously registered financial professional and started their career in finance in 1980. Rudolph had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2009 - April 24, 2015
INDEPENDENT FINANCIAL GROUP, LLC
August 28, 2009 - April 24, 2015
INDEPENDENT FINANCIAL GROUP, LLC
August 14, 1998 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
May 15, 1998 - August 28, 2009
ASSOCIATED SECURITIES CORP.
July 22, 1993 - May 15, 1998
A. G. EDWARDS & SONS, INC.
September 4, 1990 - July 21, 1993
WELLS FARGO CLEARING SERVICES, LLC
July 26, 1985 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
December 30, 1982 - August 2, 1985
UBS FINANCIAL SERVICES INC.
October 2, 1980 - March 17, 1983
PRUDENTIAL EQUITY GROUP, 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
Series 1
Date: 3/8/1968
Registered Representative ExaminationSeries 8
Date: 3/8/1983
General Securities Sales Supervisor Examination (Options Module & General Module)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.
