RB
Robert L. Bute
INDEPENDENT FINANCIAL GROUP
Metairie, LA 70001
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CRD#: 4304172
RB
Professional summary
Robert Lee Bute is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Metairie, Louisiana.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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) DESTINY INSURANCE AGENCY POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 10 START DATE: 12/10/2010 ADDRESS: 1 Galleria Blvd #190, Metairie LA 70001, United States DESCRIPTION: 50% OWNER - DESTINY INVESTMENTS, LLC OFFERING SALES OF VARIOUS TYPES OF INSURANCE PRODUCTS (2) DESTINY INVESTMENTS POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 80 START DATE: 08/07/2006 ADDRESS: 1 Galleria Blvd #190, Metairie LA 70001, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (3) ADULT FINANCIAL EDUCATION ALLIANCE POSITION: Instructor NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 04/03/2020 ADDRESS: 2240 E. Canterbury Dr., LaPlace LA 70068, United States DESCRIPTION: Provide the community objective financial education to empower individuals to take control of their finances.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Lee Bute's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Lee Bute'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 3, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1 Galleria Blvd #190, Metairie, LA 70001RIA
BD
CRD#: 7717
Metairie, LA
Current
December 3, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1 Galleria Blvd #190, Metairie, LA 70001RIA
BD
CRD#: 7717
Metairie, LA
Past
August 1, 2006 - December 8, 2010
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
METAIRIE, LA
Past
August 1, 2006 - December 8, 2010
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
METAIRIE, LA
Past
March 28, 2005 - August 2, 2006
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
NEW ORLEANS, LA
Past
February 25, 2005 - August 2, 2006
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
NEW ORLEANS, LA
Past
December 22, 2000 - March 24, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
Alabama(12/3/2010)
RR
Florida(10/13/2017)
RR
Kentucky(3/14/2019)
RR
Louisiana(12/3/2010)
IAR
Louisiana(12/6/2010)
RR
Maryland(12/3/2010)
RR
Mississippi(12/3/2010)
RR
Texas(12/3/2010)
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#: 7717Metairie, LA 70001TRUST BUT VERIFY
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