James C. Sullivan
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.
James Chester Sullivan, who also goes by Jim Sullivan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 15 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2023 - July 19, 2023
INDEPENDENT FINANCIAL GROUP, LLC
November 4, 2008 - June 16, 2023
ARQUE CAPITAL, LTD.
February 19, 1992 - December 4, 2008
FOX & COMPANY INVESTMENTS INC.
March 12, 1990 - February 10, 1992
WESTAMERICA INVESTMENT GROUP
October 9, 1989 - March 6, 1990
RL KOTROZO, INC.
July 15, 1988 - September 7, 1989
A. T. BROD & CO. INC.
March 7, 1988 - July 29, 1988
VAN MINSON FINANCIAL
May 30, 1986 - April 28, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
March 19, 1985 - June 5, 1986
A. G. EDWARDS & SONS, INC.
June 2, 1980 - March 12, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 16, 1977 - December 27, 1983
PRUDENTIAL EQUITY GROUP, LLC
March 24, 1977 - June 30, 1980
CITIGROUP GLOBAL MARKETS INC.
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
February 24, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional 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.
