INDEPENDENT FINANCIAL PARTNERS of TAMPA, FL is an SEC-registered investment adviser (CRD 125112). Regulatory assets under management: $16.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| William Eugene Hamm | CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS; EXECUTIVE CHAIRMAN | — |
| Karen L Hamm | CHIEF ADMINISTRATION OFFICER | — |
| William Christopher Hamm | PRESIDENT AND CHIEF OPERATING OFFICER; PRESIDENT, CHIEF EXECUTIVE OFFICER; PRESIDENT, CHIEF OPERATING OFFICER (+1 more) | — |
| Jeffery Allen Acheson | CHIEF BUSINESS DEVELOPMENT OFFICER | — |
| Aaron Lee Gilman | CHIEF INVESTMENT OFFICER | — |
| Torian Johnson | CHIEF COMPLIANCE OFFICER | Covington, KY |
| Derek Allen Wilkes | CHIEF COMPLIANCE OFFICER | — |
| COKINIS CHRISTOPHER ALEX | CHIEF COMPLIANCE OFFICER | — |
| MOYER TIMOTHY GLENN | CHIEF COMPLIANCE OFFICER | — |
| HAMM WILLIAM EUGENE | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTOR; CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS (+2 more) | — |
| TANCK JENNIFER A | CHIEF COMPLIANCE OFFICER | — |
| MCCORD MICHAEL CHARLES | CHIEF FINANCIAL OFFICER; CHIEF INVESTMENT OFFICER | — |
| WHISENANT JOHN GAY | CHIEF COMPLIANCE OFFICER | — |
| GILMAN CANDICE LEE | CHIEF INVESTMENT OFFICER | — |
| LONER MELISSA RILYNN | CCO; CHIEF COMPLIANCE OFFICER | — |
| WHISENANT JOHN G | CHIEF COMPLIANCE OFFICER | — |
| HAMM KAREN L | CHIEF ADMINISTRATION OFFICER; SENIOR VICE PRESIDENT | — |
| MCCAULEY WILLIAM HUGH | CHIEF FINANCIAL OFFICER | — |
| CHRISTINA LINDA M | DIRECTOR OF ADVISORY COMPLIANCE | — |
| HAMM WILLIAM CHRISTOPHER | CHIEF OPERATING OFFICER; PRESIDENT AND CHIEF OPERATING OFFICER | — |
| Kessel Joseph Keith | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & SPECIALIST COUNSEL | — |
| ACHESON JEFFERY ALLEN | CHIEF BUSINESS DEVELOPMENT OFFICER | — |
| WILKES DEREK ALLEN | CHIEF COMPLIANCE OFFICER | — |
| Karen L. Hamm | CHIEF ADMINISTRATION OFFICER | — |
| Christopher Marcellus Brooks | DIRECTOR OF SUPERVISION | Tampa, FL |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-10-20 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ALLEGED A CHERRY-PICKING SCHEME FROM AN FORMERLY EMPLOYED ADVISER IN CALIFORNIA. | Final | $400K |
| 2013-08-30 | regulatory | INDEPENDENT FINANCIAL PARTNERS, AN INVESTMENT ADVISER FIRM REGISTERED WITH THE SEC, FAILED TO REGISTER INVESTMENT ADVISOR REPRESENTATIVE IN THE STATE OF CALIFORNIA FROM NOVEMBER 30, 2010 UNTIL ON OR ABOUT OCTOBER 7, 2013. | Final | $3K |
| 2013-08-02 | regulatory | IN AUGUST 2011, INDEPENDENT FINANCIAL PARTNERS, AN INVESTMENT ADVISER FIRM REGISTERED WITH THE SEC, AFFILIATED WITH AN INVESTMENT ADVISER REPRESENTATIVE WHO HAD A PLACE OF BUSINESS IN OREGON, YET WAS NOT LICENSED BY THE DIRECTOR OF THE DEPARTMENT OF CONSUMER AND BUSINESS SERVICES FOR THE STATE OF OR… | Final | $4K |
| 2011-10-19 | regulatory | JASON AND BARNETT CHEPENIK, ACTING THROUGH INDEPENDENT FINANCIAL PARTNERS, ENGAGED IN INVESTMENT ADVISORY BUSINESS FROM OFFICES IN FLORIDA WITHOUT BENEFIT OF LAWFUL REGISTRATION IN VIOLATION OF FLORIDA STATUTES. | Final | $40K |