Robert B. Scott
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.
Robert Benton Scott was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, PC, Series 1, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2010 - March 16, 2021
INDEPENDENT FINANCIAL GROUP, LLC
February 22, 2010 - March 16, 2021
INDEPENDENT FINANCIAL GROUP, LLC
October 31, 2005 - February 24, 2010
OSAIC SERVICES, INC.
October 31, 2005 - February 24, 2010
OSAIC SERVICES, INC.
January 29, 2002 - October 31, 2005
SENTRA SECURITIES CORPORATION
July 24, 1997 - December 31, 2003
SPELMAN & CO., INC.
March 21, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
July 12, 1990 - September 27, 1993
SENTRA SECURITIES CORPORATION
May 8, 1989 - December 31, 2003
SPELMAN & CO., INC.
February 25, 1986 - May 15, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 1985 - March 14, 1986
PRUDENTIAL EQUITY GROUP, LLC
June 25, 1976 - December 8, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 23, 1973 - November 23, 1973
DEAN WITTER & CO. INCORPORATED
October 19, 1972 - January 20, 1973
HAYDEN STONE INC.
September 24, 1971 - November 5, 1972
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 25, 1969 - September 10, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 3/21/1969
Registered Representative ExaminationCurrent 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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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.
