JF
John K. Faust
INDEPENDENT FINANCIAL GROUP
Missoula, MT
Some features on this profile are disabled
CRD#: 4042919
JF
Professional summary
John Kenton Faust, who also goes by Faust, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Missoula, Montana.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Faust
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) INTERGRATED INVESTMENT SOLUTIONS POSITION: Owner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 05/29/2015 ADDRESS: 415 N. Higgins Ave., Ste. 124, Missoula MT 59802, United States DESCRIPTION: 100% OWNER OF DBA INTEGRATED INVESTMENT SOLUTIONS OFFERING SECURITIES AND INSURANCE (2) TRUSTEE POSITION: Trustee NATURE: Acting as a POA, Trustee, Executor INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2017 ADDRESS: 6518 Rattlesnake Dr., Missoula MT 59802, United States DESCRIPTION: TRUSTEE OF FAMILY TRUST
CRS (Client Relationship Summary) - RIA
Click below to view John Kenton Faust's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Kenton Faust'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®
NoneExperience
Current
September 7, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Missoula, MT
Current
September 6, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Missoula, MT
Past
May 18, 2010 - September 7, 2017
SII INVESTMENTS, INC.
RIA
CRD#: 2225
MISSOULA, MT
Past
May 17, 2010 - September 6, 2017
SII INVESTMENTS, INC.
BD
CRD#: 2225
MISSOULA, MT
Past
October 5, 2004 - May 19, 2010
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
MISSOULA, MT
Past
October 4, 2004 - May 19, 2010
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
MISSOULA, MT
Past
May 27, 2004 - October 8, 2004
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
MISSOULA, MT
Past
April 27, 2000 - October 8, 2004
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
FOLSOM, CA
Past
December 16, 1999 - March 30, 2000
SAMCO FINANCIAL SERVICES, INC.
BD
CRD#: 30108
PHOENIX, AZ
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(9/6/2017)
RR
Illinois(9/6/2017)
RR
Montana(9/7/2017)
IAR
Montana(9/7/2017)
RR
Oregon(12/11/2020)
RR
Texas(2/12/2018)
IAR
Texas(2/16/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
