Mark T. Ealy
INDEPENDENT FINANCIAL GROUP
Carlsbad, CA 92011
Some features on this profile are disabled
CRD#: 2081239
Professional summary
Mark Thomas Ealy, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Carlsbad, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Mark has worked at 5 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 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) SOLUTIONS FOR CHANGE POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 722 W. California Ave., Vista CA 92083, United States DESCRIPTION: MEMBER OF BOARD OF DIRECTORS FOR SOLUTIONS FOR CHANGE, A NON-PROFIT PROVIDING SOLUTIONS FOR HOMELESSNESS (2) RENTAL PROPERTY POSITION: Owner NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1993 ADDRESS: 2928 Rancho Brasado, Carlsbad CA 92009, United States DESCRIPTION: 100% OWNER OF RENTAL PROPERTIES (3) WEALTH MANAGEMENT GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2003 ADDRESS: 2035 Corte Del Nogal, Suite 150, Carlsbad CA 92011, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES
CRS (Client Relationship Summary) - RIA
Click below to view Mark Thomas Ealy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Thomas Ealy'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®
CFP®
Start date: 2008
Experience
Current
June 2, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2035 Corte Del Nogal Ste. 150, Carlsbad, CA 92011RIA
BD
CRD#: 7717
Carlsbad, CA
Current
June 2, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2035 Corte Del Nogal Ste. 150, Carlsbad, CA 92011RIA
BD
CRD#: 7717
Carlsbad, CA
Past
November 22, 2004 - June 4, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
CARLSBAD, CA
Past
October 1, 2003 - June 4, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
CARLSBAD, CA
Past
July 10, 2002 - August 27, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
August 7, 1990 - January 16, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
August 7, 1990 - January 16, 1991
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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(11/3/2023)
RR
Arizona(6/2/2009)
RR
California(6/2/2009)
IAR
California(6/3/2009)
RR
Colorado(1/22/2019)
RR
Florida(5/19/2023)
RR
Idaho(6/20/2024)
RR
Illinois(2/15/2018)
RR
Maryland(7/25/2017)
RR
Michigan(6/2/2009)
RR
Missouri(1/27/2021)
RR
Montana(5/20/2024)
RR
Ohio(5/13/2019)
RR
Oregon(9/15/2015)
RR
Pennsylvania(5/31/2023)
RR
South Carolina(2/2/2016)
RR
Tennessee(8/11/2021)
RR
Texas(11/21/2014)
IAR
Texas(9/25/2018)
RR
Utah(7/9/2019)
RR
Virginia(1/18/2018)
RR
Washington(10/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
