Joseph Michael Gieser

Employer firm

Independent Financial Group, LLC CRD 7717

$12.9B regulatory AUM 301 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2021 → 09/2023
  Crown Capital Securities, Lp
  Orange, CA
• 06/2017 → 05/2021
  Cal State University
  Fullerton, CA
• 12/2018 → 04/2019
  Boomers
  Fountain Valley, CA
• 06/2021 → 08/2021
  Xanterra
  Yellowstone, WY
• 01/2021 → Present
  Caps Management
  Irvine, CA
• 09/2011 → 05/2021
  Student
  Huntington Beach, CA
• 10/2023 → Present
  Independent Financial Group, Llc
  Irvine, CA

Previous Registrations

• 2022-05-12 → 2023-10-11
  Crown Capital Securities, L.P.
  Irvine, CA

Other Businesses

START DATE 02/2020 I DEVOTE 50 HRS/MO (MOSTLY NOT DURING TRADING) AS VICE PRESIDENT OF CAPS MANAGEMENT. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE TAX PREPARATION. BUSINESS ADDRESS IS THE SAME AS BRANCH. CAPS MANAGEMENT POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2021 ADDRESS: 2081 Business Center Drive, #140, Irvine CA 92612, United States DESCRIPTION: Record Keeping, Database Management, Process Upgrades and Integration. CAPS MANAGEMENT POSITION: Independent Contractor NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2021 ADDRESS: 2081 Business Center Drive, #140, Irvine CA 92612, United States DESCRIPTION: Tax Return Preparation, Client Interviews and Correspondence

Exams

• S66 Uniform Combined State Law Examination
  2022-05-12

Other Names

• Joe Gieser
• Joseph Gieser