KS
Katherine M. Salter
INDEPENDENT FINANCIAL GROUP
FULLERTON, CA 92835
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CRD#: 1207203
KS
Professional summary
Katherine M Salter, who also goes by Katherine Margaret Bulger, Kathy M Bulger, Katherine M Bulger-salter, Katherine M Bulgersalter, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Fullerton, California.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Katherine has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Margaret Bulger | Kathy M Bulger | Katherine M Bulger-Salter | Katherine M Bulgersalter
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) ST. JUDE MEMORIAL HOSPITAL POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 101 E Valencia Mesa, Fullerton CA 92835, United States DESCRIPTION: BOARD MEMBER OF ST. JUDE S MEMORIAL. (2) POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1800 ADDRESS: 2286-a N. State College Blvd, Fullerton CA 92831, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Katherine M Salter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katherine M Salter'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 9, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1370 Brea Blvd., Suite 259, Fullerton, CA 92835RIA
BD
CRD#: 7717
FULLERTON, CA
Current
April 9, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1370 Brea Blvd., Suite 259, Fullerton, CA 92835RIA
BD
CRD#: 7717
FULLERTON, CA
Past
November 18, 2009 - April 16, 2018
OSAIC SERVICES, INC.
RIA
CRD#: 133763
FULLERTON, CA
Past
October 31, 2005 - April 16, 2018
OSAIC SERVICES, INC.
BD
CRD#: 133763
FULLERTON, CA
Past
July 8, 1997 - December 23, 2009
FINANCIAL INSIGHTS
RIA
CRD#: 112484
FULLERTON, CA
Past
June 18, 1989 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
September 5, 1984 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
December 8, 1983 - September 11, 1984
GRIFFIN, BLAIR & CO., INCORPORATED
BD
CRD#: 13126
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
Arizona(4/9/2018)
RR
California(4/9/2018)
IAR
California(4/9/2018)
RR
Colorado(4/9/2018)
RR
North Carolina(4/9/2018)
RR
Texas(4/9/2018)
IAR
Texas(4/9/2018)
RR
Utah(11/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/21/1988
Corporate Securities Limited Representative 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.
