DC
Dennis A. Contrestano
INDEPENDENT FINANCIAL GROUP
Fresno, CA 93710
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CRD#: 1582393
DC
Professional summary
Dennis Anthony Contrestano, who also goes by Dennis A Contrestano, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Fresno, California.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dennis has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis A Contrestano
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) CAPITAL FINANCIAL & INSURANCE SERVICES INC POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2017 ADDRESS: 1318 East Shaw Avenue, Suite 200, Fresno CA 93710, United States DESCRIPTION: Registered Representative at DBA used for marketing purposes (2)CO TRUSTEE POSITION: Agent/Representative NATURE: Acting as a POA, Trustee, Executor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2011 ADDRESS: 1318 East Shaw Avenue, Suite 200, Fresno CA 93710, United States DESCRIPTION: Acting as co-trustee for mother's trust account
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Anthony Contrestano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Anthony Contrestano'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
December 15, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1318 East Shaw Avenue Suite 200, Fresno, CA 93710RIA
BD
CRD#: 7717
Fresno, CA
Current
December 15, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1318 East Shaw Avenue Suite 200, Fresno, CA 93710RIA
BD
CRD#: 7717
Fresno, CA
Past
October 27, 2006 - December 19, 2017
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
FRESNO, CA
Past
October 27, 2006 - December 19, 2017
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
FRESNO, CA
Past
August 12, 2006 - November 8, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FRESNO, CA
Past
August 12, 2006 - November 8, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FRESNO, CA
Past
September 16, 1997 - August 12, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
FRESNO, CA
Past
February 18, 1997 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
FRESNO, CA
Past
November 21, 1986 - February 21, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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(12/15/2017)
IAR
California(12/18/2017)
RR
Missouri(12/15/2017)
IAR
Texas(6/14/2021)
RR
Texas(6/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General 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#: 7717Fresno, CA 93710TRUST BUT VERIFY
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