Zechariah Hollomon
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.
Zechariah Hollomon, who also goes by Rickey Hollomon Jr, Rickey Hollomon, Ricky Hollomon, Zechariah Hollomon Jr, was a registered financial professional .
Zechariah is a previously registered financial professional and started their career in finance in 1981. Zechariah had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2022 - October 25, 2023
INDEPENDENT FINANCIAL GROUP, LLC
May 10, 2007 - July 15, 2022
NPB FINANCIAL GROUP, LLC
April 19, 2005 - August 1, 2006
THE SEIDLER COMPANIES INCORPORATED
September 27, 2000 - July 15, 2004
WILLIAM O'NEIL SECURITIES
March 28, 2000 - September 12, 2000
NATIONAL CLEARING CORP.
April 15, 1987 - December 31, 1998
GLENFED BROKERAGE SERVICES
January 13, 1986 - April 8, 1987
CHARLES SCHWAB & CO., INC.
January 17, 1984 - September 9, 1985
DREYFUS BROKERAGE SERVICES, INC.
April 11, 1981 - December 28, 1983
CHARLES SCHWAB & CO., INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/1/2000
Limited Representative-Equity Trader ExamCurrent 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.
