Role at Independent Financial Group#
- Title on Schedule A
- ROSFP
- 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 06/2004.
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, Llc1 July 2014 to presentSan Diego, CA · 12 years · adviser representative only · firm CRD 7717
Investment-adviser employment history in the IAPD record, newest first. The experience figure uses IAPD's calculation date of 15 July 1997, which may differ from the earliest registration below. View the IAPD record
Registrations and exams#
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 1 July 2014 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 30 June 2014 |
| Series 63 | Uniform Securities Agent State Law Examination | 3 June 1997 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 55 | Limited Representative-Equity Trader Exam | 21 October 1998 |
| Series 7 | General Securities Representative Examination | 10 April 1997 |
| Series 53 | Municipal Securities Principal Examination | 24 June 2002 |
| Series 4 | Registered Options Principal Examination | 27 February 1998 |
| Series 24 | General Securities Principal Examination | 24 September 1997 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Operations Professional Examination
- Name
- Securities Trader Exam
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Representative Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- 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 Troy Dale Pearson as ROSFP, with the role acquired in 06/2004. Form ADV Part 1A, Schedule A
Background statements are attributed to the named source. Firm biographies are not regulatory records.
Common questions#
What is Troy Pearson’s filed role?
Schedule A reports Troy Dale Pearson as ROSFP, with the role acquired in 06/2004.
Source: Form ADV Part 1A, Schedule A
What does IAPD report about Troy Pearson’s adviser registration?
IAPD reports a current investment-adviser registration through INDEPENDENT FINANCIAL GROUP, LLC beginning 2014-07-01, checked 17 September 2026.
Answered from the records above.
Leadership at Independent Financial Group#
Scott Allen HeisingChief Executive Officer / Managing DirectorCRD 2192259
David Allen FischerManaging DirectorCRD 1634222
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.