RM
Reginald F. Muggley
INDEPENDENT FINANCIAL GROUP
The Woodland, TX 77380
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CRD#: 2126258
RM
Professional summary
Reginald Franklin Muggley JR, who also goes by Buster Muggley, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in The Woodland, Texas.
Reginald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Reginald has worked at 6 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Buster Muggley
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) MUGGLEY & RENZI & CO. PLLC POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 06/01/1984 ADDRESS: 25211 Grogans Mill Rd., Ste. 280, The Woodland TX 77380, United States DESCRIPTION: Owner of tax prep and accounting company (2) INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/1984 ADDRESS: 25211 Grogans Mill Rd., Ste. 280, The Woodland TX 77380, United States DESCRIPTION: Insurance Agent (3) TOROSO FINANCIAL GROUP POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 08/01/2021 ADDRESS: 25211 Grogans Mill Rd., Ste. 280, The Woodland TX 77380, United States DESCRIPTION: DBA for marketing purposes
CRS (Client Relationship Summary) - RIA
Click below to view Reginald Franklin Muggley JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Reginald Franklin Muggley JR'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
August 2, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 25211 Grogans Mill Rd. Ste. 280, The Woodland, TX 77380RIA
BD
CRD#: 7717
The Woodland, TX
Current
August 2, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 25211 Grogans Mill Rd. Ste. 280, The Woodland, TX 77380RIA
BD
CRD#: 7717
The Woodland, TX
Past
November 1, 2017 - August 12, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
THE WOODLANDS, TX
Past
November 1, 2017 - August 12, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
THE WOODLANDS, TX
Past
April 3, 2017 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
THE WOODLANDS, TX
Past
April 1, 2010 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
THE WOODLANDS, TX
Past
October 31, 2005 - April 6, 2010
OSAIC SERVICES, INC.
BD
CRD#: 133763
THE WOODLANDS, TX
Past
April 7, 2003 - July 2, 2017
ASSET ONE LLC
RIA
CRD#: 106276
THE WOODLANDS, TX
Past
March 5, 1991 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
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
Texas(8/2/2021)
IAR
Texas(8/2/2021)
RR
Virginia(11/9/2021)
Exams
State Security Law Exam
General 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)
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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#: 7717The Woodland, TX 77380TRUST BUT VERIFY
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