AW
Alan E. Wyse
INDEPENDENT FINANCIAL GROUP
Archbold, OH 43502
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CRD#: 4243982
AW
Professional summary
Alan Edward Wyse, who also goes by Pete Wyse, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Archbold, Ohio and 724 CAPITAL, LLC located in Archbold, Ohio.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Alan has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pete Wyse
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)TAX CONSULTING POSITION: Independent Contractor NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2003 ADDRESS: 219 N. Defiance Street, Archbold OH 43502, United States DESCRIPTION: INCOME TAX RETURN PREPARATION (2) CIG FINANCIAL SERVICES POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/12/2002 ADDRESS: 219 N. Defiance Street, Archbold OH 43502, United States DESCRIPTION: PROVIDE FIXED INSURANCE PRODUCTS. (3) GOODVILLE MUTUAL CAUALTY CO POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 03/31/2013 ADDRESS: 625 WEST MAIN ST, NEW HOLLAND PA 17557, United States DESCRIPTION: BOARD MEMEBER FOR PROPERTY AND CASUALTY INSURANCE COMPANY (4) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/30/2002 ADDRESS: 219 N. Defiance Street, Archbold OH 43502, United States DESCRIPTION: OH INSURANCE AGENT OFFERING SALES OF VARIOUS INSURANCE PRODUCTS. (5) 724 CAPITAL LLC POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 FILED DATE: 02/17/2022 START DATE: 04/01/2022 ADDRESS: 219 N. Defiance Street, Archbold OH 43502, United States DESCRIPTION: Outside RIA
CRS (Client Relationship Summary) - RIA
Click below to view Alan Edward Wyse's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Edward Wyse'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
January 11, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 219 N. Defiance Street, Archbold, OH 43502RIA
BD
CRD#: 7717
Archbold, OH
Current
February 22, 2022 - Present
724 CAPITAL, LLC
Office #1: 219 N Defiance St P O Box 300, Archbold, OH 43502RIA
CRD#: 318170
Archbold, OH
Current
October 24, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 219 N. Defiance Street, Archbold, OH 43502RIA
BD
CRD#: 7717
Archbold, OH
Past
October 25, 2017 - April 8, 2022
F3LOGIC, LLC
RIA
CRD#: 289863
BURNSVILLE, MN
Past
April 30, 2009 - October 26, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
ARCHBOLD, OH
Past
April 29, 2009 - October 26, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
ARCHBOLD, OH
Past
December 17, 2003 - November 29, 2022
CHILDS INVESTMENT GROUP, INC
RIA
CRD#: 120123
ARCHBOLD, OH
Past
December 11, 2003 - May 1, 2009
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ARCHBOLD, OH
Past
December 8, 2003 - May 1, 2009
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ARCHBOLD, OH
Past
December 10, 2002 - December 3, 2003
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ARCHBOLD, OH
Past
October 28, 2002 - December 3, 2003
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
September 26, 2000 - October 7, 2002
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Florida(10/24/2017)
RR
Michigan(10/24/2017)
RR
North Carolina(2/23/2022)
RR
Ohio(10/24/2017)
IAR
Ohio(1/11/2019)
Exams
State Security Law Exam
State Security Law 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Archbold, OH 43502TRUST BUT VERIFY
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