Ray E. Teasdale
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.
Ray Edward Teasdale was a registered financial professional .
Ray is a previously registered financial professional and started their career in finance in 2003. Ray had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2018 - October 30, 2020
INDEPENDENT FINANCIAL GROUP, LLC
July 25, 2018 - October 30, 2020
INDEPENDENT FINANCIAL GROUP, LLC
August 31, 2011 - August 13, 2018
SILBER BENNETT FINANCIAL, INC.
August 18, 2011 - August 13, 2018
SILBER BENNETT FINANCIAL, INC.
March 30, 2010 - August 5, 2011
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
March 25, 2010 - August 5, 2011
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
August 6, 2007 - April 22, 2010
EMPIRE SECURITIES CORPORATION
April 3, 2006 - April 22, 2010
EMPIRE SECURITIES CORPORATION
April 25, 2005 - March 23, 2006
AVANTAX INVESTMENT SERVICES, INC.
March 11, 2003 - May 10, 2004
AVANTAX INVESTMENT SERVICES, INC.
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
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 | 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.
