JK
Jeffery W. Kesting
INDEPENDENT FINANCIAL GROUP
Sulphur Springs, TX
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CRD#: 4915868
JK
Professional summary
Jeffery Wayne Kesting is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Sulphur Springs, Texas.
Jeffery is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Jeffery has worked at 7 firms and has passed the Series 65, Series 63, SIE 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) KESTING FINANCIAL SERVICES LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 130 START DATE: 04/01/2013 ADDRESS: 401 Azalea Ct., Sulphur Springs TX 75482, United States DESCRIPTION: DBA used for marketing purposes (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2005 ADDRESS: 401 Azalea Ct., Sulphur Springs TX 75482, United States DESCRIPTION: Insurance Agent (3) JEFFERY KESTING POSITION: Season Ticket Owner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 03/23/2022 ADDRESS: 401 Azalea Ct., Sulphur Springs TX 75482, United States DESCRIPTION: Sell/buy individual tickets to the game.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffery Wayne Kesting's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffery Wayne Kesting'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
August 13, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sulphur Springs, TX
Current
August 13, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sulphur Springs, TX
Past
October 9, 2018 - August 16, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SULPHUR SPRINGS, TX
Past
October 9, 2018 - August 16, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SULPHUR SPRINGS, TX
Past
June 14, 2018 - October 18, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Sulphur Springs, TX
Past
June 14, 2018 - October 18, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Sulphur Springs, TX
Past
November 1, 2017 - June 15, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Sulphur Springs, TX
Past
November 1, 2017 - June 15, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Sulphur Springs, TX
Past
August 1, 2009 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
Sulphur Springs, TX
Past
July 27, 2009 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
Sulphur Springs, TX
Past
October 16, 2008 - July 29, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ROCKWELL, TX
Past
September 22, 2008 - July 29, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROCKWELL, TX
Past
January 20, 2006 - September 23, 2008
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
DALLAS, TX
Past
March 28, 2005 - September 23, 2008
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
DALLAS, TX
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
California(8/13/2021)
RR
Minnesota(4/26/2022)
RR
Texas(8/13/2021)
IAR
Texas(8/13/2021)
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.
