Our Qualifications

First Independent Financial Services, Inc. was granted membership in what was then called the National Association of Securities Dealers on February 10, 2004 and opened its doors as a full service broker dealer on March 1, 2004. In less than seven years we have grown from a dozen registered representatives and no OSJ branch offices to serving the securities needs of over 90 registered representatives and eleven OSJ branch offices.
 
Our current associates have a combined 1,559 years experience in the securities industry. Their average tenure in the securities business is nineteen plus years. Their ranks include Certified Public Accountants (CPA), practicing attorneys, property and casualty agency owners, employee benefits specialists, Certified Financial Planners (CFP), Charter Life Underwriters (CLU), and Chartered Financial Consultants (ChFC). The firm’s three principals have a combined 76 years of industry management and compliance experience.
 
Our clearing firm, First Southwest Clearing, has been in business since 1946 and is today one of the nations premier financial services companies. Located in Dallas, TX the firm is a leader in municipal bond consulting and underwriting. First Southwest provides timely and accurate trading services, as well as one of the most extensive bond inventories anywhere.
 
Our compliance consultant is Securities Compliance Advisors, LLC. Their experienced and qualified staff provide us with day to day input on all matters relating to compliance. We have now been examined by FINRA and the SEC and our procedures have been found to be more than adequate to meet the increasing compliance demands of our industry.