KK
Katherine A. Kirkpatrick
INDEPENDENT FINANCIAL GROUP
Eagle, ID 83616
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CRD#: 4530467
KK
Professional summary
Katherine Anne Kirkpatrick, who also goes by Katie Kendall, Katie Kirkpatrick, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Eagle, Idaho.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Katherine has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Kendall | Katie Kirkpatrick
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) MOUNTAIN VIEW FINANCIAL, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 04/01/2004 ADDRESS: 1065 E. Winding Creek Drive, Suite 230, Eagle ID 83616, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (2) BUSINESS SOLUTIONS POSITION: Officer/Director NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 09/01/1999 ADDRESS: 1065 E. Winding Creek Drive, Suite 230, Eagle ID 83616, United States DESCRIPTION: 100% OWNER/BUSINESS CONSULTANT DBA BUSINESS SOLUTIONS PROVIDING BUSINESS OVERALL STRATEGIC PLANNING COUNSEL TO SMALL BUSINESSES
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Anne Kirkpatrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katherine Anne Kirkpatrick'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
May 4, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1065 E. Winding Creek Drive Suite 230, Eagle, ID 83616RIA
BD
CRD#: 7717
Eagle, ID
Current
May 4, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1065 E. Winding Creek Drive Suite 230, Eagle, ID 83616RIA
BD
CRD#: 7717
Eagle, ID
Past
November 1, 2005 - May 4, 2012
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
RIA
CRD#: 135288
EAGLE, ID
Past
November 1, 2005 - May 4, 2012
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
BD
CRD#: 135288
EAGLE, ID
Past
May 27, 2004 - November 1, 2005
FIRST HEARTLAND CAPITAL, INC.
BD
CRD#: 32460
LAKE ST. LOUIS, MO
Past
May 26, 2004 - October 31, 2005
FIRST HEARTLAND CONSULTANTS, INC.
RIA
CRD#: 110377
EAGLE , ID
Past
May 28, 2003 - May 27, 2004
UNITED HERITAGE FINANCIAL SERVICES, INC.
RIA
CRD#: 35316
MERIDIAN, ID
Past
May 14, 2002 - May 27, 2004
UNITED HERITAGE FINANCIAL SERVICES, INC.
BD
CRD#: 35316
MERIDIAN, ID
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(8/14/2012)
RR
California(5/4/2012)
RR
Colorado(5/4/2012)
RR
Florida(9/1/2020)
RR
Idaho(5/4/2012)
IAR
Idaho(5/4/2012)
RR
Illinois(5/4/2012)
RR
New Jersey(1/5/2023)
RR
New Mexico(10/10/2017)
RR
North Carolina(9/19/2025)
RR
Oregon(5/4/2012)
RR
South Carolina(2/1/2023)
RR
Texas(10/9/2017)
RR
Virginia(1/14/2015)
RR
Washington(5/4/2012)
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.
