RS
Robert H. Sweet
INDEPENDENT FINANCIAL GROUP
El Paso, TX 79924
Some features on this profile are disabled
CRD#: 4090608
RS
Professional summary
Robert Harold Sweet, who also goes by Bob Sweet, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in El Paso, Texas.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Sweet
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) FREEDOM INSURANCE SERVICES POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/27/2015 ADDRESS: 5675 Woodrow Bean, Suite 13, El Paso TX 79924, United States DESCRIPTION: Insurance Agent providing various types of insurance products. (2) FREEDOM TAX SERVICES POSITION: Independent Contractor NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 02/05/2014 ADDRESS: 5675 Woodrow Bean, Suite 13, El Paso TX 79924, United States DESCRIPTION: Tax Preparation (3) FREEDOM NOTARY SERVICES POSITION: Independent Contractor NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2020 ADDRESS: 5675 Woodrow Bean, Suite 13, El Paso TX 79924, United States DESCRIPTION: Notarization Of Documents (4) MARINER PROPERTIES POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 5675 Woodrow Bean, Suite 13, El Paso TX 79924, United States DESCRIPTION: 100% OWNER OF MARINER PROPERTIES OFFERING RESIDENTIAL PROPERTY RENTALS
CRS (Client Relationship Summary) - RIA
Click below to view Robert Harold Sweet's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Harold Sweet'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
March 23, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 5675 Woodrow Bean Suite 13, El Paso, TX 79924RIA
BD
CRD#: 7717
El Paso, TX
Current
February 22, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 5675 Woodrow Bean Suite 13, El Paso, TX 79924RIA
BD
CRD#: 7717
El Paso, TX
Past
December 8, 2010 - January 19, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
EL PASO, TX
Past
December 8, 2010 - January 19, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
EL PASO, TX
Past
March 19, 2009 - December 10, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
EL PASO, TX
Past
February 11, 2009 - December 10, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
EL PASO, TX
Past
June 19, 2001 - February 11, 2009
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
EL PASO, TX
Past
June 19, 2001 - February 11, 2009
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
EL PASO, TX
Past
August 10, 2000 - July 5, 2001
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
May 23, 2000 - July 24, 2000
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
December 23, 1999 - April 28, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 23, 1999 - April 28, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Alabama(5/19/2022)
RR
Arizona(5/4/2016)
RR
California(6/20/2017)
RR
Georgia(6/28/2017)
RR
Missouri(4/8/2016)
RR
Nevada(7/15/2025)
RR
New Mexico(5/2/2016)
RR
Pennsylvania(8/2/2017)
RR
Tennessee(2/10/2023)
RR
Texas(3/23/2016)
IAR
Texas(3/23/2016)
RR
Utah(12/6/2024)
RR
Virginia(2/29/2016)
RR
Wyoming(3/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
