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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
FL RA APPROVED 2024-07-15
  • FL RA
    APPROVED
    Since 2024-07-15

Branch Locations

5300 W. Atlantic Ave Ste. 602, Delray Beach, FL 33484 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc White Plains NY 11/2012 06/2023
Unemployed Delray Beach FL 06/2023 06/2024
Independent Financial Group, Llc Delray Beach FL 07/2024 Present
Previous Registrations
Other Businesses

DOM FRANK INVESTMENTS LLC POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/08/2023 ADDRESS: 5300 W. Atlantic Ave, Ste. 602, Delray Beach FL 33484, United States DESCRIPTION: Ownership shares in restaurant and real estate land ownership PAXTON CONSULTING GROUP POSITION: Consultant NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 06/17/2024 ADDRESS: 5300 W. Atlantic Ave, Ste. 602, Delray Beach FL 33484, United States DESCRIPTION: Structured product processing. .

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-05
S63 Uniform Securities Agent State Law Examination 2007-11-30
  • S65 Uniform Investment Adviser Law Examination
    2008-11-05
  • S63 Uniform Securities Agent State Law Examination
    2007-11-30
Other Names
  • Michael R D Alora
  • Michael Rocco Dalora
  • Michael Rocco D' Alora
  • Michael D Alora
  • Michael D'ALora

View on SEC IAPD

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