Thomas A. Dewerth
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.
Thomas Anthony Dewerth was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2009 - July 28, 2011
INDEPENDENT FINANCIAL GROUP, LLC
August 21, 2009 - December 31, 2019
INDEPENDENT FINANCIAL GROUP, LLC
September 6, 2005 - August 21, 2009
WATERSTONE FINANCIAL GROUP, INC.
August 31, 2005 - August 21, 2009
WATERSTONE FINANCIAL GROUP, INC.
October 7, 2002 - September 9, 2005
LPL FINANCIAL LLC
October 1, 2002 - September 9, 2005
LPL FINANCIAL LLC
March 29, 1984 - February 3, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
February 13, 1984 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
February 13, 1984 - October 3, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 13, 1984 - October 3, 2002
OSAIC FA, INC.
March 2, 1970 - January 26, 1984
METROPOLITAN LIFE INSURANCE COMPANY
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: 2/20/1970
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.
