SG
Sharon Green
INDEPENDENT FINANCIAL GROUP
Elm Grove, WI 53122
Some features on this profile are disabled
CRD#: 1269522
SG
Professional summary
Sharon Green, who also goes by Sharon Anne Green, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Elm Grove, Wisconsin.
Sharon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Sharon has worked at 8 firms and has passed the Series 65, Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sharon Anne Green
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) FINRA ARBITRATOR POSITION: Independent Contractor NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 16655 W Wisconsin Avenue, Brookfield WI 53005, United States DESCRIPTION: Serve as arbitrator as directed by FINRA (2) WCTC POSITION: Employee NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 800 Main Street, Pewaukee WI 53072, United States DESCRIPTION: Teach adult education classes (3) MARQUETTE POSITION: Employee NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 1250 W. Wisconsin Avenue, Milwaukee WI 53233, United States DESCRIPTION: Teach adult education class (4) ALVERNO COLLEGE POSITION: Employee NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 3400 S 43rd Str, Milwaukee WI 53234, United States DESCRIPTION: Teach adult education class (5) NOTARY POSITION: Employee NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2004 Address: DESCRIPTION: Notary Public (6) REGENCY WEALTH PARTNERS POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2016 Address: DESCRIPTION: DBA used for financial services business
CRS (Client Relationship Summary) - RIA
Click below to view Sharon Green's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sharon Green'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
September 15, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 500 Elm Grove Rd. Ste. 100, Elm Grove, WI 53122RIA
BD
CRD#: 7717
Elm Grove, WI
Current
September 15, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 500 Elm Grove Rd. Ste. 100, Elm Grove, WI 53122RIA
BD
CRD#: 7717
Elm Grove, WI
Past
January 12, 2018 - August 7, 2020
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
ELM GROVE, WI
Past
January 12, 2018 - August 7, 2020
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
ELM GROVE, WI
Past
July 24, 2009 - January 16, 2018
SII INVESTMENTS, INC.
RIA
CRD#: 2225
Elm Grove, WI
Past
January 25, 2005 - August 31, 2009
ANNEX WEALTH MANAGEMENT, LLC
RIA
CRD#: 127987
BROOKFIELD, WI
Past
April 14, 2004 - December 31, 2005
SII INVESTMENTS, INC.
RIA
CRD#: 2225
Elm Grove, WI
Past
November 14, 2002 - January 16, 2018
SII INVESTMENTS, INC.
BD
CRD#: 2225
Elm Grove, WI
Past
February 7, 1994 - November 15, 2002
WELLINGTON INVESTMENT SERVICES CORP.
BD
CRD#: 23018
BROOKFIELD, WI
Past
October 19, 1990 - January 13, 1994
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
November 16, 1989 - October 26, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 24, 1989 - November 29, 1989
BLUNT ELLIS & LOEWI INCORPORATED
BD
CRD#: 7580
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(9/15/2020)
RR
Colorado(9/15/2023)
RR
Florida(9/15/2020)
RR
Iowa(5/6/2022)
RR
Michigan(9/15/2020)
RR
North Carolina(5/9/2022)
RR
South Carolina(9/15/2020)
RR
Vermont(9/15/2020)
RR
Wisconsin(9/15/2020)
IAR
Wisconsin(9/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Elm Grove, WI 53122TRUST BUT VERIFY
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