Role at Independent Financial Group#
- Title on Schedule A
- Chief Executive Officer / Managing Director
- Control
- Schedule A reports this person as a control person of the adviser.
- Ownership
- Schedule A reports the under-5% ownership band (NA). Schedule B reports a 25% to 50% band as trustee of The Heising Family Trust, which in turn holds a 25% to 50% band in Independent Financial Group Inc.
- Tenure
- Role reported since 04/2003. The indirect trustee role and interest were acquired in May 2022.
The firm
Independent Financial Group, LLC$12.93B regulatory AUM · 476 advisory staff · 398 officesFirm profileTitle 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#
- Independent Financial Group, Llc21 October 2005 to presentSan Diego, CA · 21 years · adviser representative only · firm CRD 7717
- Independent Financial Group, Llc16 June 2003 to 21 October 2005San Diego, CA · 2 years · adviser representative only · firm CRD 125953
Investment-adviser employment history in the IAPD record, newest first. The experience figure uses IAPD's calculation date of 3 March 1996, which may differ from the earliest registration below. View the IAPD record
Registrations and exams#
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 21 October 2005 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 June 2003 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 20 May 2008 |
| Series 24 | General Securities Principal Examination | 18 July 2022 |
| Series 27 | Financial and Operations Principal Examination | 26 January 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- General Securities Principal Examination
- Name
- Financial and Operations 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 Scott Allen Heising as a control person and Chief Executive Officer / Managing Director, with the role acquired in 04/2003. Form ADV Part 1A, Schedule A
Background statements are attributed to the named source. Firm biographies are not regulatory records.
Common questions#
What is Scott Heising’s filed role?
Schedule A reports Scott Allen Heising as a control person and Chief Executive Officer / Managing Director, with the role acquired in 04/2003.
Source: Form ADV Part 1A, Schedule A
What does IAPD report about Scott Heising’s adviser registration?
IAPD reports a current investment-adviser registration through INDEPENDENT FINANCIAL GROUP, LLC beginning 2005-10-21, checked 17 September 2026.
Answered from the records above.
Leadership at Independent Financial Group#
David Allen FischerManaging DirectorCRD 1634222- Troy Dale PearsonROSFPCRD 2413897
Sarah Jill KreismanSVP & General CounselCRD 2671706
Brian DennenCCO Brokerage & AdvisoryCRD 3239786
Kevin Michael KeefePresident, COOCRD 1869560
Scott Earle DavisCFO & FINOPCRD 7160800
The other officers and owners named on the firm's Schedule A.