Ellen R. Friedman
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.
Ellen Ronnie Friedman, who also goes by Ellen Ronnie Kaplan, Ellen Ronnie Simon, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1974. Ellen had worked at 13 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 8 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 1, 2013 - May 24, 2018
INDEPENDENT FINANCIAL GROUP, LLC
August 24, 2009 - February 18, 2011
GB INVESTMENT SECURITIES, INC.
February 27, 2008 - July 14, 2009
AFA ADVISOR SERVICES LLC
February 15, 2005 - July 14, 2009
AFA FINANCIAL GROUP, LLC
July 23, 2004 - February 7, 2005
FINANCIAL WEST GROUP
July 21, 2004 - February 7, 2005
FINANCIAL WEST GROUP
March 8, 2004 - July 19, 2004
PLANMEMBER SECURITIES CORPORATION
February 26, 2003 - July 19, 2004
PLANMEMBER SECURITIES CORPORATION
September 18, 2001 - June 2, 2003
SCHOFF & BAXTER, INC.
April 27, 2000 - August 6, 2001
SUTRO & CO. INCORPORATED
August 19, 1999 - May 1, 2000
ROUND HILL SECURITIES, INC.
June 30, 1976 - July 20, 1999
J.P. MORGAN SECURITIES LLC
May 27, 1975 - June 11, 1976
June 26, 1974 - October 8, 1975
SHEARSON HAYDEN STONE INC.
May 3, 1974 - August 15, 1974
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: 5/26/1977
AMEX Put and Call ExamSeries 1
Date: 4/29/1974
Registered Representative ExaminationSeries 8
Date: 12/18/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
