MN
Michael D. Nakano
INDEPENDENT FINANCIAL GROUP
San Rafael, CA 94901
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CRD#: 1322510
MN
Professional summary
Michael Dean Nakano is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Rafael, California and O'DONNELL FINANCIAL SERVICES, LLC located in San Rafael, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 17 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) O'DONNELL FINANCIAL GROUP, LLC AKA O'DONNELL FINANCIAL SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 10/26/2018 ADDRESS: 1101 Fifth Avenue, Suite 150, San Rafael CA 94901, United States DESCRIPTION: REGISTERED REPRESENATATIVE AND IAR AT DBA O'DONNELL FINANCIAL GROUP, LLC AKA O'DONNELL FINANCIAL SERVICES, LLC USED FOR MARKETING PURPOSES (2)MICHAEL DEAN NAKANO POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/08/2018 ADDRESS: 1101 Fifth Avenue, Suite 150, San Rafael CA 94901, United States DESCRIPTION: Sales of various insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Michael Dean Nakano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Dean Nakano'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
October 8, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1101 Fifth Avenue Suite 150, San Rafael, CA 94901Office #2: 1535 N Main St. #200, Walnut Creek, CA 94596Office #3: 1520 The Alameda #120, San Jose, CA 95126RIA
BD
CRD#: 7717
San Rafael, CA
Current
October 26, 2018 - Present
O'DONNELL FINANCIAL SERVICES, LLC
Office #1: 1101 Fifth Ave. Suite 150, San Rafael, CA 94901RIA
CRD#: 172520
San Rafael, CA
Current
October 1, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1101 Fifth Avenue Suite 150, San Rafael, CA 94901Office #2: 1535 N Main St. #200, Walnut Creek, CA 94596Office #3: 1520 The Alameda #120, San Jose, CA 95126RIA
BD
CRD#: 7717
San Rafael, CA
Past
June 14, 2017 - October 8, 2018
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
WALNUT CREEK, CA
Past
June 14, 2017 - October 8, 2018
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
WALNUT CREEK, CA
Past
December 7, 2012 - June 15, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WALNUT CREEK, CA
Past
December 7, 2012 - June 15, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WALNUT CREEK, CA
Past
July 27, 2007 - December 17, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
PLEASANT HILL, CA
Past
July 27, 2007 - December 17, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
PLEASANT HILL, CA
Past
December 15, 2004 - April 6, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
December 15, 2004 - August 2, 2007
OSAIC FA, INC.
BD
CRD#: 3978
SAN RAMON, CA
Past
October 19, 1999 - December 14, 2004
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
January 1, 1999 - October 11, 1999
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
June 9, 1997 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
BD
CRD#: 10823
Past
March 28, 1995 - June 5, 1997
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
September 20, 1993 - March 28, 1995
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
January 15, 1992 - September 20, 1993
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
August 1, 1991 - January 9, 1992
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
August 22, 1989 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
BD
CRD#: 11028
Past
July 25, 1985 - August 23, 1989
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
December 3, 1984 - October 10, 1985
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
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(10/1/2018)
RR
California(10/1/2018)
IAR
California(10/8/2018)
RR
Hawaii(10/3/2018)
RR
Oregon(2/2/2021)
RR
Tennessee(6/6/2019)
RR
Washington(10/1/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717San Rafael, CA 94901TRUST BUT VERIFY
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Contact information
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