TO
Thomas W. Otten
INDEPENDENT FINANCIAL GROUP
Reno, NV 89519
Some features on this profile are disabled
CRD#: 712233
TO
Professional summary
Thomas Wendell Otten is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Reno, Nevada.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Thomas has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Wendell Otten's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Wendell Otten'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 2, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1495 Ridgeview Drive Suite 220, Reno, NV 89519RIA
BD
CRD#: 7717
Reno, NV
Current
January 2, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1495 Ridgeview Drive Suite 220, Reno, NV 89519RIA
BD
CRD#: 7717
Reno, NV
Past
June 13, 2012 - January 5, 2015
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
RENO, NV
Past
December 17, 2009 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
RENO, NV
Past
November 11, 2009 - January 5, 2015
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
RENO, NV
Past
October 3, 2007 - November 18, 2009
AVISEN ADVISORS, LLC
RIA
CRD#: 113791
RENO, NV
Past
November 17, 2005 - November 12, 2009
AVISEN WEALTH MANAGEMENT, INC.
BD
CRD#: 125977
RENO, NV
Past
July 1, 2003 - November 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RENO, NV
Past
July 1, 2003 - November 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 20, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
RENO, NV
Past
March 27, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 24, 1980 - April 10, 1989
PIPER SANDLER & CO.
BD
CRD#: 665
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
Arizona(12/9/2022)
RR
California(1/2/2015)
RR
Colorado(1/2/2015)
RR
Idaho(11/23/2022)
RR
Iowa(1/2/2015)
RR
Maryland(1/2/2026)
RR
Michigan(1/2/2015)
RR
Minnesota(12/9/2025)
RR
Nebraska(10/6/2020)
IAR
Nevada(1/2/2015)
RR
Nevada(1/5/2015)
RR
New York(11/23/2022)
RR
Oklahoma(1/6/2015)
RR
Oregon(1/2/2015)
RR
South Dakota(1/5/2015)
RR
Texas(5/12/2021)
IAR
Texas(5/13/2021)
RR
Washington(1/2/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/8/1986
General Securities Sales Supervisor Examination (Options Module & General Module)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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
