CM
Charles Mann
PROFESSIONAL FINANCIAL ADVISORS
SAN JUAN CAPISTRANO, CA 92675-1515
Some features on this profile are disabled
CRD#: 1010028
CM
Professional summary
Charles Mann, who also goes by C Mann, Charles C. Mann, Charles C Mann, is a registered financial advisor currently at PROFESSIONAL FINANCIAL ADVISORS INC located in San Juan Capistrano, California and INDEPENDENT FINANCIAL GROUP, LLC located in San Juan Capistrano, California.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Charles has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 51, Series 8, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
C Mann | Charles C. Mann | Charles C Mann
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) PROFESSIONAL FINANCIAL ADVISORS, INC POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 8 START DATE: 09/01/1983 ADDRESS: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano CA 92675, United States DESCRIPTION: RIA. (2) PACIFIC CORPORATE CONSULTANTS, INC POSITION: Officer/Director NATURE: Pension Related Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2000 ADDRESS: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano CA 92675, United States DESCRIPTION: Pension Services.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Mann's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Mann's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 8, 1997 - Present
PROFESSIONAL FINANCIAL ADVISORS INC
Office #1: 30240 Rancho Viejo Road Suite A, San Juan Capistrano, CA 92675-1515RIA
CRD#: 105296
SAN JUAN CAPISTRANO, CA
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano, CA 92675RIA
BD
CRD#: 7717
San Juan Capistrano, CA
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano, CA 92675RIA
BD
CRD#: 7717
San Juan Capistrano, CA
Past
March 8, 2016 - July 15, 2022
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
San Juan Capistrano, CA
Past
March 7, 2016 - July 15, 2022
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
San Juan Capistrano, CA
Past
September 9, 2014 - March 17, 2016
PACIFIC FINANCIAL ASSOCIATES, INC.
BD
CRD#: 23772
SAN JUAN CAPISTRANO, CA
Past
August 8, 1989 - May 28, 2014
PACIFIC FINANCIAL ASSOCIATES, INC.
BD
CRD#: 23772
SAN JUAN CAPISTRANO, CA
Past
February 6, 1984 - September 11, 1989
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
July 19, 1983 - January 30, 1984
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Past
October 31, 1981 - September 21, 1983
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(7/8/1997)
RR
California(7/15/2022)
RR
Nevada(7/15/2022)
IAR
Nevada(7/15/2022)
IAR
Texas(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/18/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
