RS
Raymond F. Sole
INDEPENDENT FINANCIAL GROUP
Westlake, OH 44145
Some features on this profile are disabled
CRD#: 2215439
RS
Professional summary
Raymond Frank Sole is a registered financial professional currently at INDEPENDENT FINANCIAL GROUP, LLC located in Westlake, Ohio.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 1992. Raymond has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Raymond Frank Sole'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
November 29, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 159 Crocker Park Blvd #400, Westlake, OH 44145RIA
BD
CRD#: 7717
Westlake, OH
Past
August 4, 2015 - November 29, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
Westlake, OH
Past
June 26, 2009 - August 3, 2015
FINTEGRA, LLC
BD
CRD#: 16741
WESTLAKE, OH
Past
March 13, 2009 - July 2, 2009
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CLEVELAND, OH
Past
May 31, 2002 - March 13, 2009
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
CLEVELAND, OH
Past
May 31, 2000 - June 10, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 4, 1996 - June 5, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 3, 1994 - March 4, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 1, 1992 - January 17, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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.
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
Arizona(11/29/2016)
RR
California(11/29/2016)
RR
Connecticut(11/29/2016)
RR
Delaware(11/29/2016)
RR
Florida(11/29/2016)
RR
Illinois(11/30/2016)
RR
Kentucky(11/29/2016)
RR
Massachusetts(11/29/2016)
RR
Michigan(11/29/2016)
RR
Minnesota(11/29/2016)
RR
Missouri(11/29/2016)
RR
Nevada(11/29/2016)
RR
New Jersey(11/29/2016)
RR
New York(11/29/2016)
RR
Ohio(11/29/2016)
RR
Pennsylvania(11/29/2016)
RR
South Carolina(1/23/2017)
RR
South Dakota(4/6/2018)
RR
Texas(11/29/2016)
RR
Utah(11/29/2016)
Exams
State Security Law 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.
