MR
Mark B. Ruleman
INDEPENDENT FINANCIAL GROUP
Memphis, TN 38119
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CRD#: 1644845
MR
Professional summary
Mark Billings Ruleman is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Memphis, Tennessee.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 30 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) INSURANCE AGENT POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2019 ADDRESS: 6000 Poplar Ave, Ste. 250, Memphis TN 38119, United States DESCRIPTION: TN INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE. (2) GERMANTOWN CHAMBER OF COMMERCE POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 2 START DATE: 08/01/2017 ADDRESS: 2195 S GERMANTOWN ROAD, GERMANTOWN TN 38138, United States DESCRIPTION: MEMBER OF THE BOARD OF DIRECTORS OF GERMANTOWN CHAMBER OF COMMERCE. (3) THEATRE MEMPHIS POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 08/06/2012 ADDRESS: 630 perkins road extd, memphis TN 38117, United States DESCRIPTION: MEMBER OF THE BOARD OF DIRECTORS FOR THEATRE MEMPHIS. (4) RULEMAN ASSET MANAGEMENT & PLANNING POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 10/01/2019 ADDRESS: 6000 Poplar Ave, Ste. 250, Memphis TN 38119, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING SECURITIES AND ADVISORY SERVICES. (5) BNI NETWORKING GROUP POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 14 SECURITIES TRADING HOURS: 4 START DATE: 10/18/2001 ADDRESS: 6000 Poplar Ave, Ste. 250, Memphis TN 38119, United States DESCRIPTION: MEMBER OF BNI NETWORKING GROUP (6) LEADERSHIP GERMANTOWN ALUMN ASSOCIATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2023 ADDRESS: 6000 Poplar Ave, Ste. 250 #244, Memphis TN 38119, United States DESCRIPTION: speakers,fund raising & sponsorships (7) FINANCIAL PLANNING ASSOCIATION GREATER MEMPHIS CHAPTER POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2023 ADDRESS: 5100 Wheelis Ave, Suite 211, Memphis TN 38117, United States DESCRIPTION: helping to direct use of existing funds and recruit sponsors for events including speakers & venue costs.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Billings Ruleman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Billings Ruleman'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 18, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6000 Poplar Ave Ste. 250 #244, Memphis, TN 38119RIA
BD
CRD#: 7717
Memphis, TN
Current
October 18, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6000 Poplar Ave Ste. 250 #244, Memphis, TN 38119RIA
BD
CRD#: 7717
Memphis, TN
Past
August 2, 2019 - November 1, 2019
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MEMPHIS, TN
Past
November 1, 2017 - July 15, 2019
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MEMPHIS, TN
Past
November 1, 2017 - November 1, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MEMPHIS, TN
Past
November 17, 2011 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
MEMPHIS, TN
Past
October 7, 2011 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
MEMPHIS, TN
Past
October 3, 2011 - July 17, 2019
UNITED CAPITAL FINANCIAL ADVISORS
RIA
CRD#: 134600
MEMPHIS, TN
Past
January 2, 2009 - October 3, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MEMPHIS, TN
Past
April 30, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
MEMPHIS, TN
Past
April 23, 2004 - October 3, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MEMPHIS, TN
Past
March 31, 1999 - May 6, 2004
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MEMPHIS, TN
Past
March 31, 1999 - May 6, 2004
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
August 5, 1994 - April 19, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 16, 1992 - August 24, 1994
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
March 25, 1987 - December 3, 1992
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
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(9/1/2021)
RR
Colorado(10/25/2019)
RR
Indiana(10/5/2021)
RR
Mississippi(10/18/2019)
RR
Missouri(10/18/2019)
RR
North Carolina(11/6/2019)
RR
Ohio(1/25/2021)
RR
Pennsylvania(8/17/2020)
IAR
Tennessee(10/18/2019)
RR
Tennessee(1/10/2023)
RR
West Virginia(10/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 7717Memphis, TN 38119TRUST BUT VERIFY
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