EH
Edward A. Hollett
SIERRA SHORE FINANCIAL
Pismo Beach, CA 93449
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CRD#: 726835
EH
Professional summary
Edward Alan Hollett, AIF®, who also goes by Edward Alan Hollet, is a registered financial advisor currently at SIERRA SHORE FINANCIAL located in Pismo Beach, California and INDEPENDENT FINANCIAL GROUP, LLC located in Pismo Beach, California.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Edward has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 15, Series 5 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Edward Alan Hollet
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) SIERRA SHORE FINANCIAL POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 06/17/2003 ADDRESS: 500 Cypress Street, Suite S-15, Pismo Beach CA 93449, United States DESCRIPTION: 100% OWNER & IAR OF SIERRA SHORE FINANCIAL, A CA REGISTERED INVESTMENT ADVISOR OFFERING ADVISORY SERVICES (2) HOLLETT INSURANCE SERVICES POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/29/2020 ADDRESS: 500 Cypress Street, Suite S-15, Pismo Beach CA 93449, United States DESCRIPTION: Insurance sales and service for life, and health insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Alan Hollett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Alan Hollett'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®
Experience
Current
June 18, 2003 - Present
SIERRA SHORE FINANCIAL
Office #1: 500 Cypress St. Suite S-15, Pismo Beach, CA 93449RIA
CRD#: 126811
Pismo Beach, CA
Current
November 1, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 500 Cypress Street Suite S-15, Pismo Beach, CA 93449RIA
BD
CRD#: 7717
Pismo Beach, CA
Current
May 13, 2003 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 500 Cypress Street Suite S-15, Pismo Beach, CA 93449RIA
BD
CRD#: 7717
Pismo Beach, CA
Past
December 15, 1998 - May 6, 2003
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
BAKERSFIELD, CA
Past
October 29, 1998 - May 6, 2003
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
December 15, 1997 - November 12, 1998
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
August 17, 1993 - December 31, 1997
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
May 24, 1993 - September 14, 1993
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
September 28, 1987 - November 18, 1989
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
March 26, 1982 - October 15, 1987
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
March 23, 1981 - March 31, 1982
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
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(2/11/2016)
RR
California(5/13/2003)
IAR
California(6/18/2003)
RR
Florida(5/13/2003)
IAR
Texas(1/19/2016)
RR
Texas(1/20/2016)
RR
Utah(9/18/2020)
RR
Washington(4/29/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 1/23/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationPrincipal/Supervisory 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Pismo Beach, CA 93449TRUST BUT VERIFY
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