KS
Keith D. Schlottman
INDEPENDENT FINANCIAL GROUP
Tuscon, AZ 85715
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CRD#: 4119244
KS
Professional summary
Keith Douglas Schlottman is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Tuscon, Arizona.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Keith has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) SCHLOTTMAN TAX SERVICES, LLC POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 80 START DATE: 09/01/1999 ADDRESS: 6206 Pima Street, Suite 2, Tuscon AZ 85715, United States DESCRIPTION: Enrolled Agent providing income Tax Preparation, Accounting, and related services. (2) 10-10 INTERNATIONAL NET SCHOLARSHIP FOUNDATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1998 ADDRESS: 6206 Pima Street, Suite 2, Tuscon AZ 85715, United States DESCRIPTION: TREASURER OF 10-10 INTERNATIONAL NET SCHOLARSHIP FOUNDATION, PROVIDING BOOKKEEPING AND FINANCIAL RECORDS FOR THE NON-PROFIT SCHOLARSHIP FOUNDATION . (3) TEN-TEN INTERNATIONAL NET, INC. POSITION: Treasurer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1994 ADDRESS: 6206 Pima Street, Suite 2, Tuscon AZ 85715, United States DESCRIPTION: TREASURER OF TEN-TEN INTERNATIONAL NET, INC. PROVIDING BOOKKEEPING AND FINANCIAL RECORDS SERVICES TO THE NON-PROFIT AMATEUR RADIO CLUB (4) RFDX ELECTRONICS, INC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 10214 N Eight Iron Ln, Tucson AZ 85737, United States DESCRIPTION: 100% OWNER OF RFDX ELECTRONICS, INC PROVIDING ELECTRONICAL ENGINEERING AND EQUIPMENT SALES (5) TUCSON RUNNERS PROJECT, LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 10214 N Eight Iron Ln, Tucson AZ 85737, United States DESCRIPTION: 50% OWNER OF TUCSON RUNNERS PROJECT, LLC A FREE LOCAL RUNNING CLUB (6) DR. SHOKOFEH MOTLAGH, DMD, PLC POSITION: Employee NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2022 ADDRESS: 2200 E. Cedar Ave, Suite 5, Flagstaff AZ 86004, United States DESCRIPTION: Orthodontics practice. Maintain books and records, bookkeeping, and tax related tasks. (7) ALL THINGS HOME, LLC POSITION: Employee NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2022 ADDRESS: 6206 Pima Street, Suite 2, Tuscon AZ 85715, United States DESCRIPTION: Bookkeeping and tax preparation services.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Douglas Schlottman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Douglas Schlottman'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
December 18, 2008 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6206 Pima Street, Suite 2, Tuscon, AZ 85715RIA
BD
CRD#: 7717
Tuscon, AZ
Current
December 10, 2008 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6206 Pima Street, Suite 2, Tuscon, AZ 85715RIA
BD
CRD#: 7717
Tuscon, AZ
Past
September 4, 2007 - December 16, 2008
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
TUCSON, AZ
Past
July 11, 2005 - December 16, 2008
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
TUCSON, AZ
Past
January 25, 2000 - July 18, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
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(12/10/2008)
IAR
Arizona(12/18/2008)
RR
California(11/6/2024)
RR
Georgia(12/10/2008)
RR
Idaho(2/23/2015)
RR
North Carolina(12/10/2008)
RR
Ohio(1/31/2025)
RR
Oklahoma(10/30/2013)
RR
Texas(6/16/2025)
IAR
Texas(6/16/2025)
RR
Washington(12/10/2008)
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.
