MG
Mark J. Gieser
INDEPENDENT FINANCIAL GROUP
Irvine, CA 92612
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CRD#: 1992184
MG
Professional summary
Mark John Gieser is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Irvine, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 22, Series 6, Series 51, Series 24 and Series 26 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Mark John Gieser's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark John Gieser'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 5, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2081 Business Center Drive, #140, Irvine, CA 92612RIA
BD
CRD#: 7717
Irvine, CA
Current
October 5, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2081 Business Center Drive, #140, Irvine, CA 92612RIA
BD
CRD#: 7717
Irvine, CA
Past
March 16, 2004 - October 11, 2023
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
IRVINE, CA
Past
March 16, 2004 - October 11, 2023
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
IRVINE, CA
Past
March 18, 1998 - April 1, 2004
SII INVESTMENTS, INC.
RIA
CRD#: 2225
IRVINE, CA
Past
July 29, 1997 - April 1, 2004
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
September 26, 1989 - August 14, 1997
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
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
Alabama(10/5/2023)
RR
Arizona(10/5/2023)
RR
California(10/6/2023)
IAR
California(10/6/2023)
RR
Colorado(10/5/2023)
RR
Delaware(10/5/2023)
RR
Florida(5/9/2025)
RR
Hawaii(10/5/2023)
RR
Iowa(6/19/2025)
RR
Maryland(10/5/2023)
RR
Michigan(10/5/2023)
RR
Nevada(10/5/2023)
RR
Oregon(10/9/2023)
RR
Tennessee(8/11/2025)
RR
Texas(10/5/2023)
IAR
Texas(10/5/2023)
RR
Utah(10/5/2023)
RR
Washington(10/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/13/1991
Corporate Securities Limited Representative ExaminationGeneral 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.
