Gennaro G. Savarese

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CRD#: 1085268

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gennaro Giacomo Savarese, who also goes by Gennaro Giacomo Saverese, was a registered financial professional .

Gennaro is a previously registered financial professional and started their career in finance in 1982. Gennaro had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gennaro Giacomo Saverese

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.

TORTOSA HOA POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 100 START DATE: 01/18/2024 ADDRESS: 20179 N. Dali Lane, Maricopa AZ 85138, United States DESCRIPTION: Serving as President shall be the Chief Executive Officer shall have executive powers and responsibility for general supervision over the affairs of the Association including but not limited to the power to appoint committees from among the Members to assist sin the conduct of the affairs of the association. President presides over all official meeting of the board of directors. Acts as liaison to management company per the management agreement and provides leadership to the board of directors

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 1, 2017 - May 21, 2025

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Maricopa, AZ

Past

May 31, 2017 - May 21, 2025

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

Maricopa, AZ

Past

October 19, 2006 - June 1, 2017

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SAN DIEGO, CA

Past

October 17, 2006 - June 1, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

SAN DIEGO, CA

Past

October 31, 2005 - October 27, 2006

OSAIC SERVICES, INC.

RIA

CRD#: 133763

SAN DIEGO, CA

Past

October 31, 2005 - October 27, 2006

OSAIC SERVICES, INC.

CRD#: 133763

SAN DIEGO, CA

Past

September 23, 1999 - October 31, 2005

SPELMAN & CO., INC.

RIA

CRD#: 10232

SAN DIEGO, CA

Past

September 13, 1999 - October 31, 2005

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

January 3, 1994 - August 23, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 17, 1990 - January 3, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 4, 1990 - September 17, 1990

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 21, 1982 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

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

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/26/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/19/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/23/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/29/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/14/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/24/1985

Registered Options Principal Examination

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

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.

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Firm Stability Insights

Gennaro G. Savarese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SPELMAN & CO., INC.

SPELMAN & CO., INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/1992

Series 63

Date: 4/19/1983

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 10/23/1987

Series 7

Date: 12/18/1982

Series 53

Date: 12/29/2004

Series 24

Date: 4/14/2003

Series 4

Date: 1/24/1985

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

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