Kathleen A. Covey
Professional summary
Kathleen Ann Covey, CFP® is a registered financial advisor currently at COVEY & COVEY located in San Diego, California and INDEPENDENT FINANCIAL GROUP, LLC located in Encinitas, California.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Kathleen has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Ann Covey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Ann Covey's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1982
Experience
January 27, 2017 - Present
COVEY & COVEY
Office #1: 4370 La Jolla Village Dr. Ste. 400, San Diego, CA 92122February 6, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
February 6, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
August 31, 2016 - February 6, 2017
WESTPARK CAPITAL, INC.
August 16, 2016 - February 6, 2017
WESTPARK CAPITAL, INC.
January 14, 2015 - April 6, 2015
NEWPORT COAST ASSET MANAGEMENT, INC.
March 27, 2014 - December 31, 2016
COVEY & COVEY
February 18, 2009 - December 31, 2009
COVEY & COVEY
January 6, 2009 - August 22, 2016
NEWPORT COAST SECURITIES, INC.
January 6, 2009 - August 22, 2016
NEWPORT COAST SECURITIES, INC.
October 1, 2007 - December 31, 2008
BRECEK & YOUNG ADVISORS, INC.
July 27, 2007 - December 31, 2008
BRECEK & YOUNG ADVISORS, INC.
July 8, 1997 - December 31, 2008
COVEY & COVEY
June 3, 1992 - July 23, 2007
BROOKSTREET SECURITIES CORPORATION
August 22, 1980 - October 31, 1990
LPL FINANCIAL LLC
December 13, 1979 - October 23, 1980
WORLD CAPITAL BROKERAGE, 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
(2/6/2017)
(1/27/2017)
(2/6/2017)
(12/17/2018)
(2/6/2017)
Exams
Series 1
Date: 12/3/1979
Registered Representative ExaminationFINRA
Current 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.
