Michael J. Carlucci
Professional summary
Michael Joseph Carlucci, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Freehold, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Carlucci's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Carlucci's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2007
Experience
April 27, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 205 Route 9 North Suite 31, Freehold, NJ 07728April 27, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 205 Route 9 North Suite 31, Freehold, NJ 07728January 8, 2007 - April 29, 2009
OSAIC FA, INC.
January 8, 2007 - April 29, 2009
OSAIC FA, INC.
December 1, 2006 - January 3, 2007
QUESTAR CAPITAL CORPORATION
May 17, 2006 - January 5, 2007
QUESTAR ASSET MANAGEMENT, INC.
December 2, 2005 - June 14, 2006
USALLIANZ SECURITIES, INC.
December 2, 2005 - December 1, 2006
USALLIANZ SECURITIES, INC.
June 22, 2005 - December 6, 2005
WOODSTOCK FINANCIAL GROUP, INC.
April 18, 2005 - December 6, 2005
WOODSTOCK FINANCIAL GROUP, INC.
December 6, 1999 - April 18, 2005
NETWORK 1 FINANCIAL SECURITIES INC.
July 15, 1998 - December 3, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
September 18, 1995 - July 24, 1998
BLUESTONE CAPITAL CORP.
March 23, 1995 - September 18, 1995
BARRON CHASE SECURITIES, INC.
November 11, 1994 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
July 6, 1994 - October 18, 1994
AMERICORP SECURITIES, INC.
May 24, 1994 - July 8, 1994
RUSSO SECURITIES INC.
October 11, 1993 - May 5, 1994
LCP CAPITAL CORP.
February 1, 1993 - October 4, 1993
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/26/2025)
(3/16/2026)
(9/6/2011)
(10/2/2024)
(4/27/2009)
(4/27/2009)
(4/27/2009)
(2/22/2024)
(4/8/2021)
Exams
Series 55
Date: 11/8/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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.
