CG
Christopher D. Gleason
INDEPENDENT FINANCIAL GROUP
Sarasota, FL
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CRD#: 2268918
CG
Professional summary
Christopher Douglas Gleason, who also goes by Christopher Douglas Gleason Mr., is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Sarasota, Florida.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Douglas Gleason Mr.
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: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1800 ADDRESS: 3827 Camino Real, Sarasota FL 34239, United States DESCRIPTION: Insurance Agent (2) GLEASON FINANCIAL POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/1992 ADDRESS: 3827 Camino Real, Sarasota FL 34239, United States DESCRIPTION: DBA used for marketing purposes
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Douglas Gleason's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Douglas Gleason'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
RIA
BD
CRD#: 7717
Sarasota, FL
Current
August 2, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sarasota, FL
Past
October 25, 2017 - August 2, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Sarasota, FL
Past
September 6, 2017 - August 2, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Sarasota, FL
Past
April 22, 2004 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
SOUTHBURY, CT
Past
April 22, 2004 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SOUTHBURY, CT
Past
May 20, 1999 - December 31, 2002
BTS ASSET MANAGEMENT, INC.
RIA
CRD#: 105215
SOUTHBURY, CT
Past
August 22, 1996 - April 22, 2004
MAIN STREET MANAGEMENT COMPANY
RIA
CRD#: 547
SOUTHBURY, CT
Past
June 7, 1996 - April 22, 2004
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
August 20, 1992 - June 7, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
Arizona(8/2/2021)
RR
California(8/2/2021)
RR
Colorado(8/4/2021)
RR
Connecticut(8/2/2021)
IAR
Connecticut(8/2/2021)
RR
Florida(8/2/2021)
IAR
Florida(8/3/2021)
RR
Georgia(10/21/2021)
RR
Illinois(9/2/2021)
RR
Indiana(8/2/2021)
RR
Maine(8/2/2021)
RR
Maryland(8/2/2021)
RR
Massachusetts(8/24/2021)
RR
New Hampshire(8/2/2021)
RR
New Jersey(8/2/2021)
RR
New York(10/20/2021)
RR
North Carolina(8/19/2021)
RR
Ohio(8/2/2021)
RR
Oklahoma(8/4/2021)
RR
Pennsylvania(8/2/2021)
RR
Rhode Island(3/30/2022)
IAR
Texas(8/2/2021)
RR
Texas(8/9/2021)
RR
Vermont(8/2/2021)
RR
Virginia(8/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
