Kenneth A. Marinace
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.
Kenneth Anthony Marinace, who also goes by Ken Marinace, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1979. Kenneth had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 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
September 29, 2017 - October 17, 2017
INDEPENDENT FINANCIAL GROUP, LLC
September 28, 2017 - October 17, 2017
INDEPENDENT FINANCIAL GROUP, LLC
January 24, 2012 - October 20, 2017
NATIONAL PLANNING CORPORATION
February 6, 2009 - October 20, 2017
NATIONAL PLANNING CORPORATION
November 4, 1998 - December 16, 2016
COMPREHENSIVE FINANCIAL SERVICES
July 8, 1997 - February 12, 2009
OSAIC WEALTH, INC.
November 19, 1989 - February 12, 2009
OSAIC WEALTH, INC.
June 19, 1982 - August 25, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 3, 1981 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 14, 1979 - April 20, 1981
SIGNATOR INVESTORS, INC.
August 14, 1979 - August 25, 1993
JOHN HANCOCK MUTUAL 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: 8/6/1979
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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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.
