John M. Cione
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Michael Cione was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2005 - May 2, 2019
INDEPENDENT FINANCIAL GROUP, LLC
December 10, 2003 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
December 10, 2003 - May 2, 2019
INDEPENDENT FINANCIAL GROUP, LLC
January 22, 2003 - December 31, 2016
CAPITAL GROWTH INVESTMENT MANAGEMENT SERVICES
November 22, 2002 - December 16, 2003
SENTRA SECURITIES CORPORATION
December 4, 1995 - June 23, 1997
SPELMAN & CO., INC.
August 3, 1994 - December 16, 2003
SENTRA SECURITIES CORPORATION
January 28, 1993 - July 22, 1994
LAM WAGNER, INC.
February 2, 1990 - March 17, 1995
FORESTERS EQUITY SERVICES, INC.
December 14, 1987 - November 24, 1992
AIMCO SECURITIES COMPANY, INC.
September 22, 1987 - January 1, 1988
YAEGER SECURITIES, INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
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.
