Rodney D. Creathbaum
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.
Rodney Donald Creathbaum, who also goes by Rod Ccreathbaum, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1970. Rodney had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2013 - June 15, 2020
INDEPENDENT FINANCIAL GROUP, LLC
September 30, 2013 - June 15, 2020
INDEPENDENT FINANCIAL GROUP, LLC
October 31, 2002 - September 30, 2013
TLG ADVISORS, INC.
January 12, 1999 - September 30, 2013
THE LEADERS GROUP, INC.
January 7, 1987 - December 31, 1998
TITAN/VALUE EQUITIES GROUP, INC.
June 25, 1982 - January 15, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
January 31, 1982 - June 21, 1982
PLENGE, THOMAS & GUNNING SECURITIES, INC.
August 13, 1971 - February 2, 1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 13, 1971 - February 2, 1982
OSAIC FA, INC.
February 18, 1970 - September 23, 1971
NEW ENGLAND SECURITIES
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
Series 1
Date: 2/12/1970
Registered Representative ExaminationCurrent 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.
