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.
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 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, Llc12 August 2024 to presentSan Diego, CA · 2 years · adviser representative only · firm CRD 7717
- Lpl Financial Llc9 June 2020 to 29 September 2023San Diego, CA · 3 years · adviser representative only · firm CRD 6413
- Ally Invest Advisors10 July 2017 to 23 March 2020Charlotte, NC · 3 years · adviser representative only · firm CRD 170301
- Wealthfront1 November 2012 to 3 November 2016Redwood 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#
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 12 August 2024 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 October 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 August 1999 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 1 July 1999 |
| Series 27 | Financial and Operations Principal Examination | 24 July 2003 |
| Series 4 | Registered Options Principal Examination | 5 March 2001 |
| Series 24 | General Securities Principal Examination | 14 August 2000 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Financial and Operations 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 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.
Answered from the records above.
Leadership at Independent Financial Group#
Scott Allen HeisingChief Executive Officer / Managing DirectorCRD 2192259
David Allen FischerManaging DirectorCRD 1634222- Troy Dale PearsonROSFPCRD 2413897
Sarah Jill KreismanSVP & General CounselCRD 2671706
Kevin Michael KeefePresident, COOCRD 1869560
Scott Earle DavisCFO & FINOPCRD 7160800
The other officers and owners named on the firm's Schedule A.
Sources
- IAPD individual record, CRD 3239786. Employment history, registrations and examinations.
- 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 correctionThis profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Simple Money is not affiliated with Brian Dennen or Independent Financial Group, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.
Simple Money Advisors LLC is a California-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.