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Thomas Wendell Otten

Independent Financial Group, LLC

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About Thomas Wendell Otten

Thomas Otten is a financial advisor with over 40 years of experience in the industry. Thomas is a registered representative in Nevada and Texas. Thomas is also an investment advisor representative in Nevada and Texas. Thomas is currently employed by Independent Financial Group, LLC in Reno, Nevada. Thomas has previously worked at First Allied Securities, Inc., Avisen Securities, Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, and Piper, Jaffray & Hopwood Incorporated. Thomas is a licensed securities professional with experience in securities, investments, financial planning, and portfolio management. He is committed to providing clients with comprehensive financial guidance.

Firm Information

Thomas Otten is currently registered with Independent Financial Group, LLC. Independent Financial Group, LLC is a limited liability company formed in July 2001 and headquartered in San Diego, California. The firm offers financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors. They manage approximately $1 billion to $10 billion in assets for a diverse clientele, including high-net-worth individuals, corporations, charitable organizations, and pension plans. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
Independent Financial Group, LLC

12671 HIGH BLUFF DR

SAN DIEGO, CA 92130

$6.75B

Assets Under Management

270

Total Clients

524

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Otten’s Registration & Firm History

NV

05/13/2021 - Present

Independent Financial Group, LLC (Reno NV)

NV

11/11/2009 - 01/05/2015

FIRST ALLIED SECURITIES, INC. (RENO NV)

NV

11/17/2005 - 11/12/2009

AVISEN SECURITIES, INC. (RENO NV)

MO

07/01/2003 - 11/18/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

03/27/1989 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NA

07/24/1980 - 04/10/1989

PIPER, JAFFRAY & HOPWOOD INCORPORATED

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Licenses & Designations

IA

Issued 01/20/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/23/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/06/2006

Series 24 - General Securities Principal Examination

BC

Issued 12/08/1986

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/19/1980

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Wendell Otten.
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