TK
Tristan A. King
INDEPENDENT FINANCIAL GROUP
Southlake, TX 76092
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CRD#: 6249360
TK
Professional summary
Tristan Andrew King is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Southlake, Texas.
Tristan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Tristan has worked at 4 firms and has passed the Series 66, 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) BADII GROUP, LLC POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/04/2018 ADDRESS: 555 West 5th, 35th Floor, Los Angeles CA 90013, United States DESCRIPTION: Registered admin at DBA used for marketing securities and advisory services. (2) BADII GROUP PRIVATE WEALTH MANAGEMENT POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2019 ADDRESS: 555 West 5th, 35th Floor, Los Angeles CA 90013, United States DESCRIPTION: Registered admin at DBA used for marketing securities and advisory services.
CRS (Client Relationship Summary) - RIA
Click below to view Tristan Andrew King's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tristan Andrew King'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
January 24, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 550 Reserve Street #250, Southlake, TX 76092RIA
BD
CRD#: 7717
Southlake, TX
Current
January 23, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 550 Reserve Street #250, Southlake, TX 76092RIA
BD
CRD#: 7717
Southlake, TX
Past
September 7, 2018 - February 14, 2020
CANTELLA & CO., INC.
RIA
CRD#: 13905
Los Angeles, CA
Past
September 6, 2018 - February 14, 2020
CANTELLA & CO., INC.
BD
CRD#: 13905
Los Angeles, CA
Past
February 8, 2016 - September 6, 2018
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LOS ANGELES, CA
Past
February 8, 2016 - September 6, 2018
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
LOS ANGELES, CA
Past
November 20, 2013 - January 13, 2016
MORGAN STANLEY
RIA
CRD#: 149777
NEWTOWN, PA
Past
October 21, 2013 - January 13, 2016
MORGAN STANLEY
BD
CRD#: 149777
NEWTOWN, PA
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(1/23/2020)
IAR
California(1/24/2020)
Exams
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.
