MD
Michael L. Digaetano
INDEPENDENT FINANCIAL GROUP
Lakeway, TX
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CRD#: 2378300
MD
Professional summary
Michael Laurence Digaetano, AIF®, who also goes by Michael Lawrence Digaetano, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Lakeway, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Lawrence Digaetano
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) - RIA
Click below to view Michael Laurence Digaetano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Laurence Digaetano'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®
Experience
Current
October 11, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Lakeway, TX
Current
October 12, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Lakeway, TX
Past
November 24, 2015 - October 17, 2016
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
West Lake Hills, TX
Past
August 25, 2015 - October 17, 2016
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
Lewiston, NY
Past
February 6, 2012 - July 16, 2012
FORTITUDE ADVISORY GROUP L.L.C.
RIA
CRD#: 116083
GIG HARBOR, WA
Past
September 27, 2007 - December 4, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
WEST LAKE HILLS, TX
Past
April 26, 2001 - December 4, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
LEWISTON, NY
Past
December 15, 1998 - May 10, 2001
CANTELLA & CO., INC.
BD
CRD#: 13905
MALDEN, MA
Past
February 22, 1995 - December 16, 1998
PRINCETON SECURITIES CORPORATION
BD
CRD#: 21613
SYOSSET, NY
Past
April 20, 1994 - February 23, 1995
L.C. WEGARD & CO., INC.
BD
CRD#: 3722
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.
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(10/12/2016)
RR
Arizona(10/12/2016)
RR
California(10/12/2016)
RR
Colorado(4/20/2021)
RR
Florida(10/12/2016)
RR
Illinois(11/14/2018)
RR
Iowa(10/20/2016)
RR
Maryland(10/12/2016)
RR
Michigan(10/12/2016)
RR
Minnesota(7/15/2025)
RR
Nebraska(10/12/2016)
RR
Nevada(10/12/2016)
RR
New Jersey(11/1/2016)
RR
New Mexico(2/6/2017)
RR
New York(10/12/2016)
RR
North Carolina(10/12/2016)
RR
Pennsylvania(6/5/2023)
IAR
Texas(10/11/2016)
RR
Texas(10/12/2016)
RR
Wyoming(10/12/2016)
Exams
State Security Law Exam
State Security Law 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
624
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.
