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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

THOMAS WENDELL OTTEN

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

Reno, NV

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Search this name across graphsid dfx:ria:de82a372-7604-7649-b223-ce46d0a4c88e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT FINANCIAL GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 23, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 23, 1980
First registration: Jun 20, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 712233

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Jan 2, 2015	n/a	yes	Reno, NV	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jun 13, 2012	Jan 5, 2015	no	RENO, NV	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Dec 17, 2009	Jul 2, 2012	no	RENO, NV\|SAN DIEGO, CA	Previous registration
AVISEN ADVISORS, LLC	Independent wealth	Oct 3, 2007	Nov 18, 2009	no	RENO, NV	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Nov 18, 2005	no	RENO, NV	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jun 20, 2003	Jul 1, 2003	no	RENO, NV	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST ALLIED ADVISORY SERVICES, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Jan 5, 2015	Jan 2, 2015	-3	Firm change	Other
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jun 13, 2012	-19	Bulk transfer	Other
AVISEN ADVISORS, LLC	FIRST ALLIED SECURITIES, INC.	Nov 18, 2009	Dec 17, 2009	29	Firm change	Other
WELLS FARGO ADVISORS	AVISEN ADVISORS, LLC	Nov 18, 2005	Oct 3, 2007	684	Firm change after gap	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
137888:7717:NV:2015-01-05	Jan 5, 2015	Jan 2, 2015	RENO, NV	Firm change

Relationships

Registered with (6)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Jan 2, 2015 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jun 13, 2012 to Jan 5, 2015factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Dec 17, 2009 to Jul 2, 2012factForm ADV
→ AVISEN ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 3, 2007 to Nov 18, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Nov 18, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jun 20, 2003 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.