GM
Gary W. Morris
INDEPENDENT FINANCIAL GROUP
Arcadia, CA 91006
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CRD#: 2463062
GM
Professional summary
Gary Wayne Morris is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Arcadia, California.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Gary has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) GRANITE RIDGE LLC POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2018 ADDRESS: 255 E. Santa Clara, Suite300, Arcadia CA 91006, United States DESCRIPTION: Charitable LLC used for tax purposes (2) PROFESSIONAL ADVISORY SERVICES, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 12/16/2002 ADDRESS: 255 E. Santa Clara St., Ste. 300, Arcadia CA 91006, United States DESCRIPTION: Owner of DBA used for marketing purposes. (3) GARY MORRIS, LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2000 ADDRESS: 255 E. Santa Clara, Arcadia CA 91006, United States DESCRIPTION: OWNER OF GARY MORRIS LLC, LEASING OFFICE SPACE (4) PROFESSIONAL ESTATE SERVICES, INC. POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/11/1994 ADDRESS: 255 E. Santa Clara St., Ste. 300, Arcadia CA 91006, United States DESCRIPTION: OWNER OF PROFESSIONAL ESTATE SERVICES, INC., INCOME TAX AND INSURANCE SERVICES (5) PES REAL ESTATE SERVICES POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/06/2004 ADDRESS: 255 E. Santa Clara, Suite300, Arcadia CA 91006, United States DESCRIPTION: OWNER OF PES REAL ESTATE SERVICES, INC. PROVIDING REAL ESTATE PURCHASE/SALE ASSISTANCE (6) ARCADIA EXECUTIVE SUITES POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/09/2005 ADDRESS: 255 E. Santa Clara, Suite210, Arcadia CA 91006, United States DESCRIPTION: Owner of Arcadia Executive Suites, offering furnished office space rentals. (7) C.A.R.E., INC. POSITION: Officer/Director NATURE: Mortgage Lending Services INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/06/2004 ADDRESS: 255 E. Santa Clara St., Ste. 300, Arcadia CA 91006, United States DESCRIPTION: OWNER OF C.A.R.E. INC., MORTGAGE AND LENDING SERVICES. (8) HART, MIERAS & MORRIS, INC. POSITION: Officer/Director NATURE: Attorney, Legal Services INVESTMENT RELATED: No NUMBER OF HOURS: 151 SECURITIES TRADING HOURS: 100 START DATE: 06/19/2003 ADDRESS: 255 E. Santa Clara, Suite300, Arcadia CA 91006, United States DESCRIPTION: OWNER OF HART, MIERAS & MORRIS, INC., A PROFESSIONAL LAW CORPORATION (9) GRANITE RIDGE CHRISTIAN CAMP POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/09/2008 ADDRESS: 4850 Coyote Creek Lane, Creston CA 93432, United States DESCRIPTION: CHAIRMAN OF THE BOARD FOR GRANITE RIDGE CHRISTIAN CAMP
CRS (Client Relationship Summary) - RIA
Click below to view Gary Wayne Morris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gary Wayne Morris'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
July 31, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 255 E. Santa Clara St. Ste. 300, Arcadia, CA 91006RIA
BD
CRD#: 7717
Arcadia, CA
Current
July 31, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 255 E. Santa Clara St. Ste. 300, Arcadia, CA 91006RIA
BD
CRD#: 7717
Arcadia, CA
Past
November 1, 2017 - July 6, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ARCADIA, CA
Past
November 1, 2017 - July 6, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ARCADIA, CA
Past
July 8, 2008 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
ARCADIA, CA
Past
July 8, 2008 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
ARCADIA, CA
Past
October 31, 2005 - June 13, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
ARCADIA, CA
Past
May 1, 2003 - November 23, 2006
PROFESSIONAL ADVISORY SERVICES,INC.
RIA
CRD#: 124742
ARCADIA, CA
Past
April 16, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
August 1, 1995 - April 16, 1997
LAGUNA SECURITIES, INC.
BD
CRD#: 37547
NEWPORT BEACH, CA
Past
March 30, 1994 - August 1, 1995
WEALTH RESOURCE CAPITAL CORPORATION
BD
CRD#: 10367
NEWPORT BEACH, CA
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(1/3/2022)
RR
California(7/31/2018)
IAR
California(7/31/2018)
RR
Colorado(1/3/2022)
RR
Florida(1/3/2022)
RR
Kentucky(2/2/2023)
RR
Maryland(4/29/2019)
RR
Massachusetts(1/3/2022)
RR
New York(1/3/2022)
RR
Oklahoma(1/3/2022)
RR
Oregon(1/4/2022)
RR
Tennessee(7/24/2025)
RR
Texas(1/3/2022)
IAR
Texas(1/3/2022)
RR
Utah(1/3/2022)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
Exams
State Security Law Exam
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Arcadia, CA 91006TRUST BUT VERIFY
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