KB
Kenneth J. Beber
INDEPENDENT FINANCIAL GROUP
FRISCO, TX 75034
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CRD#: 4257664
KB
Professional summary
Kenneth James Beber, AIF® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Frisco, Texas.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kenneth has worked at 3 firms and has passed the Series 66, 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) PEAK FINANCIAL, INC POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/2011 ADDRESS: 451 W. Bonita Avenue, #5, San Dimas CA 91773, United States DESCRIPTION: Registered Representative and Investment Advisor Representative at DBA used for marketing securities and advisory business (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/01/2011 ADDRESS: 451 W. Bonita Avenue, #5, San Dimas CA 91773, United States DESCRIPTION: CA INSURANCE AGENT (3) LITTLE ELM ISD EDUCATIONAL FOUNDATION POSITION: Board Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/01/2019 ADDRESS: Zellars Center for Learning & Leadership, 300 Lobo Lane, Little Elm TX 75068, United States DESCRIPTION: Board members Enhance and enrich educational opportunities for students, Support staff for innovation, recognize staff for exemplary teaching, and embrace campus and district-wide efforts toward excellence, and Involve the community in assuring a quality education for the leaders and workforce of tomorrow. (4) LITTLE ELM INDEPENDENT SCHOOL DISTRICT POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2022 ADDRESS: Little Elm ISD Administration Building, 400 Lobo Lane, Little Elm TX 75068, United States DESCRIPTION: School Board Member.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth James Beber's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth James Beber'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®
Experience
Current
September 12, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6160 Warren Parkway Ste. 100-154, Frisco, TX 75034Office #2: 13925 City Center Drive #200-235, Chino Hills, CA 91709RIA
BD
CRD#: 7717
FRISCO, TX
Current
September 12, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6160 Warren Parkway Ste. 100-154, Frisco, TX 75034Office #2: 13925 City Center Drive #200-235, Chino Hills, CA 91709RIA
BD
CRD#: 7717
FRISCO, TX
Past
August 23, 2011 - September 14, 2011
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
SAN DIMAS, CA
Past
August 23, 2011 - September 14, 2011
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
SAN DIMAS, CA
Past
April 9, 2007 - August 16, 2011
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WEST COVINA, CA
Past
October 10, 2000 - August 16, 2011
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WEST COVINA, CA
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(10/6/2011)
RR
California(9/12/2011)
IAR
California(9/12/2011)
RR
Colorado(1/19/2016)
RR
Florida(12/14/2020)
RR
Illinois(9/19/2024)
RR
Minnesota(8/3/2017)
RR
Mississippi(8/6/2025)
RR
Missouri(5/16/2022)
RR
Nevada(9/21/2022)
RR
New Jersey(10/18/2018)
RR
New York(8/11/2020)
RR
North Carolina(12/5/2022)
RR
Oklahoma(8/7/2025)
RR
Oregon(2/6/2012)
RR
Tennessee(3/18/2025)
RR
Texas(9/12/2011)
IAR
Texas(7/13/2015)
RR
Utah(8/19/2021)
RR
Washington(8/10/2020)
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Frisco, TX 75034TRUST BUT VERIFY
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