CW
Charles R. Weldon
INDEPENDENT FINANCIAL GROUP
Boca Raton, FL
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CRD#: 1030659
CW
Professional summary
Charles Raymond Weldon, who also goes by C. Raymond Weldon, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Boca Raton, Florida.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Charles has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
C. Raymond Weldon
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) C. RAYMOND WELDON & ASSOCIATES, INC. POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 24 START DATE: 02/03/1993 ADDRESS: 2255 Glades Road, Ste 324a, Boca Raton FL 33431, United States DESCRIPTION: Corporation for my financial services business. (2) WELDON & COMPANY POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 24 START DATE: 02/03/1993 ADDRESS: 2255 Glades Road, Ste 324a, Boca Raton FL 33431, United States DESCRIPTION: DBA for marketing purposes. (3) BUENA VISTA HOMEOWNERS ASSOCIATION, INC. POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 6124 Visa Linda Ln, Boca Raton FL 33433, United States DESCRIPTION: Board member for HOA. (4) OUTSIDE INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 24 START DATE: 01/01/1980 ADDRESS: 2255 Glades Road, Ste 324a, Boca Raton FL 33431, United States DESCRIPTION: Outside insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Raymond Weldon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Raymond Weldon'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
April 6, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Boca Raton, FL
Current
March 30, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Boca Raton, FL
Past
February 16, 2022 - March 30, 2022
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BOCA RATON, FL
Past
October 25, 2017 - February 23, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BOCA RATON, FL
Past
May 10, 2004 - December 31, 2009
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
BOCA RATON, FL
Past
May 5, 2004 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
BOCA RATON, FL
Past
May 29, 2003 - May 11, 2004
MAIN STREET MANAGEMENT COMPANY
RIA
CRD#: 547
FT. LAUDERDALE, FL
Past
May 21, 2003 - May 11, 2004
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
January 29, 1997 - May 23, 2022
WELDON & COMPANY
RIA
CRD#: 129099
BOCA RATON, FL
Past
October 18, 1993 - May 21, 2003
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
June 4, 1982 - October 4, 1993
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
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
RR
California(3/30/2022)
RR
Florida(4/6/2022)
IAR
Florida(4/6/2022)
RR
Georgia(3/30/2022)
RR
Illinois(4/25/2022)
RR
Minnesota(4/8/2022)
RR
North Carolina(4/13/2022)
RR
Puerto Rico(3/30/2022)
RR
Rhode Island(3/30/2022)
RR
South Carolina(3/30/2022)
RR
Texas(10/3/2022)
IAR
Texas(10/3/2022)
RR
Wisconsin(3/30/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 6/27/1995
Non-Member General Securities ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
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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.
