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Current Employers
Independent Financial Group, Llc

12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-07-28
  • TX RA
    APPROVED
    Since 2021-07-28

Branch Locations

Corpus Christi, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Girard Securities San Diego CA 01/2009 11/2017
Cetera Advisor Networks Llc El Segundo CA 11/2017 07/2021
Independent Financial Group Corpus Christi TX 07/2021 Present
  • 01/2009 → 11/2017
    Girard Securities
    San Diego, CA
  • 11/2017 → 07/2021
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 07/2021 → Present
    Independent Financial Group
    Corpus Christi, TX
Previous Registrations
  • 2017-11-01 → 2021-07-28
    Cetera Wealth Services, Llc
    Corpus Christi, TX
  • 2009-01-12 → 2017-11-01
    Girard Securities, Inc.
    San Diego, CA
    Corpus Christi, TX
    Corpus Christi, TX
  • 2008-02-12 → 2009-01-22
    Next Financial Group, Inc.
    Houston, TX
    Corpus Christi, TX
Other Businesses

(1) TOROSO FINANCIAL GROUP POSITION: owner NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2009 ADDRESS: 4918 Oakmont Dr., Corpus Christi TX 78413, United States DESCRIPTION: 5% owner of business entity used as office of supervisory jurisdiction (2) MILITELLO WEALTH MANAGEMENT LLC POSITION: Managing Member NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2009 ADDRESS: 4918 Oakmont Dr., Corpus Christi TX 78413, United States DESCRIPTION: 100% owner of DBA used for marketing purposes (3) MILITELLO WEATH MANAGEMENT LLC POSITION: Managing Member NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2009 ADDRESS: 4918 Oakmont Dr., Corpus Christi TX 78413, United States DESCRIPTION: 100% owner of business entity used for tax and investment purposes (4) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2019 ADDRESS: 4918 Oakmont Dr., Corpus Christi TX 78413, United States DESCRIPTION: Insurance Agent

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-08
S63 Uniform Securities Agent State Law Examination 1999-12-01
  • S65 Uniform Investment Adviser Law Examination
    2008-02-08
  • S63 Uniform Securities Agent State Law Examination
    1999-12-01

View on SEC IAPD

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