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Brian Dennen, portrait

Brian Dennen

CCO Brokerage & Advisory at Independent Financial Group

Investment adviser representative in San Diego, CA

From the SEC’s public record of this individual, checked on 17 September 2026.

Brian Dennen is a cco brokerage & advisory of Independent Financial Group, LLC, a San Diego-based SEC-registered investment adviser managing $12.93B. Brian has been registered through the firm since 12 August 2024, with 25 years in the industry across 4 firms, holds adviser registrations in California.

25
Years of IAPD experience
2
Years at the firm
Independent Financial Group, Llc
4
Adviser firms on record
1
State registrations
8
Exams passed

Counts are from the SEC record as checked on 17 September 2026. Years are measured to that date.

Role at Independent Financial Group#

Title on Schedule A
CCO Brokerage & Advisory
Control
Schedule A does not report this person as a control person of the adviser.
Ownership
Schedule A reports the under-5% ownership band (NA).
Tenure
Role reported since 08/2024.

The firm

Independent Financial Group, LLC$12.93B regulatory AUM · 476 advisory staff · 398 officesFirm profile

Title and ownership as reported on Schedules A and B of the firm's Form ADV. Ownership percentages are the SEC's reporting bands, not exact figures. View Schedule A in the filing

Career on record#

  1. Independent Financial Group, Llc12 August 2024 to present
    San Diego, CA · 2 years · adviser representative only · firm CRD 7717
  2. Lpl Financial Llc9 June 2020 to 29 September 2023
    San Diego, CA · 3 years · adviser representative only · firm CRD 6413
  3. Ally Invest Advisors10 July 2017 to 23 March 2020
    Charlotte, NC · 3 years · adviser representative only · firm CRD 170301
  4. Wealthfront1 November 2012 to 3 November 2016
    Redwood City, CA · 4 years · adviser representative only · firm CRD 148456

Investment-adviser employment history in the IAPD record, newest first. The experience figure uses IAPD's calculation date of 28 May 2001, which may differ from the earliest registration below. View the IAPD record

Registrations and exams#

California12 August 2024
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6511 October 2012
Name
Uniform Investment Adviser Law Examination
Series 6326 August 1999
Name
Uniform Securities Agent State Law Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 71 July 1999
Name
General Securities Representative Examination
Series 2724 July 2003
Name
Financial and Operations Principal Examination
Series 45 March 2001
Name
Registered Options Principal Examination
Series 2414 August 2000
Name
General Securities Principal Examination

State adviser registrations currently approved, and the qualifying examinations on record. View the IAPD record

Regulatory record#

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.

Where to check this individual's complete record, including any disciplinary history. View the IAPD record

Background#

Schedule A reports Brian Dennen as CCO Brokerage & Advisory, with the role acquired in 08/2024. Form ADV Part 1A, Schedule A

Background statements are attributed to the named source. Firm biographies are not regulatory records.

Common questions#

What is Brian Dennen’s filed role?

Schedule A reports Brian Dennen as CCO Brokerage & Advisory, with the role acquired in 08/2024.

Source: Form ADV Part 1A, Schedule A

What does IAPD report about Brian Dennen’s adviser registration?

IAPD reports a current investment-adviser registration through INDEPENDENT FINANCIAL GROUP, LLC beginning 2024-08-12, checked 17 September 2026.

Source: IAPD individual record, Current IA Employments

Answered from the records above.

Leadership at Independent Financial Group#

The other officers and owners named on the firm's Schedule A.

Sources

  1. IAPD individual record, CRD 3239786. Employment history, registrations and examinations.
  2. Form ADV Part 1A, Schedules A and B of Independent Financial Group, LLC, filed 17 March 2026. Title, control and ownership bands.

Retrieved 17 September 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth and Simple Money Advisors LLC are not affiliated with Brian Dennen or Independent Financial Group, LLC and make no representation about the quality of their services. This directory does not report disciplinary history, in either direction.

Niva Wealth is not a registered investment adviser. This page is not investment, tax, or legal advice and is not an offer of advisory services. Verify this individual's current record at adviserinfo.sec.gov and the firm's at its IAPD record before engaging an adviser. The portrait is reproduced from the firm’s website for identification.