RG
Robert H. Gunning
INDEPENDENT FINANCIAL GROUP
Fresno, CA 93710
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CRD#: 1782016
RG
Professional summary
Robert Holmes Gunning, who also goes by Bob Gunning, Rob Gunning, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Fresno, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Gunning | Rob Gunning
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 POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 01/16/2020 ADDRESS: 1318 East Shaw Avenue, Suite 200, Fresno CA 93710, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) CAPITAL FINANCIAL & INSURANCE SERVICES INC POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 01/16/2020 ADDRESS: 1318 East Shaw Avenue, Suite 200, Fresno CA 93710, United States DESCRIPTION: REGISTERED REPRESENTATIVE AT DBA USED FOR MARKETING PURPOSES (3) EAST FRESNO ROTARY CLUB POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2020 ADDRESS: 1318 East Shaw Avenue, Suite 200, Fresno CA 93710, United States DESCRIPTION: Volunteer Board Member for the East Fresno Rotary Club (4) READING AND BEYOND POSITION: Officer/Director NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 12/14/2021 ADDRESS: 4670 Butler Ave, Fresno CA 93702, United States DESCRIPTION: Volunteer Board Member
CRS (Client Relationship Summary) - RIA
Click below to view Robert Holmes Gunning's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Holmes Gunning'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
February 28, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1318 East Shaw Avenue Suite 200, Fresno, CA 93710RIA
BD
CRD#: 7717
Fresno, CA
Current
February 28, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1318 East Shaw Avenue Suite 200, Fresno, CA 93710RIA
BD
CRD#: 7717
Fresno, CA
Past
February 2, 2010 - February 9, 2018
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Fresno, CA
Past
January 29, 2010 - February 9, 2018
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Fresno, CA
Past
January 13, 2009 - January 14, 2010
WEDBUSH SECURITIES INC.
RIA
CRD#: 877
FRESNO, CA
Past
January 13, 2009 - January 14, 2010
WEDBUSH SECURITIES INC.
BD
CRD#: 877
FRESNO, CA
Past
November 14, 2003 - January 27, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FRESNO, CA
Past
November 14, 2003 - January 27, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FRESNO, CA
Past
June 13, 2000 - December 11, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
FRESNO, CA
Past
July 31, 1993 - December 11, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
January 1, 1988 - February 20, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(2/28/2018)
IAR
California(2/28/2018)
RR
Delaware(11/13/2018)
RR
New York(2/28/2018)
RR
Washington(2/28/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/20/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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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