RA
Ronald H. Appler
INDEPENDENT FINANCIAL GROUP
Sykesville, MD
Some features on this profile are disabled
CRD#: 2499039
RA
Professional summary
Ronald Heller Appler SR is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Sykesville, Maryland.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Ronald has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) ROCKY MOUNTAIN HIGH FINANCIAL SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/02/2002 ADDRESS: 1161 Day Road, Sykesville MD 21784, United States DESCRIPTION: 100% OWNER OF DBA ROCKY MOUNTAIN HIGH FINANCIAL SERVICES USED FOR MARKETING PURPOSES (2) INSTRUCTOR POSITION: teacher NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/17/2015 ADDRESS: 1161 Day Road, Sykesville MD 21784, United States DESCRIPTION: SAFETY ARMS INSTRUCTOR (3) RENTAL PROPERTY POSITION: owner and property manager NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/17/2010 ADDRESS: 1161 Day Road, Sykesville MD 21784, United States DESCRIPTION: RESIDENTIAL PROPERTY RENTAL (4) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/15/1994 ADDRESS: 1161 Day Road, Sykesville MD 21784, United States DESCRIPTION: MD INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Heller Appler SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Heller Appler SR'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
April 6, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sykesville, MD
Current
April 6, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sykesville, MD
Past
March 1, 2004 - April 6, 2017
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
SYKESVILLE, MD
Past
June 16, 2003 - April 6, 2017
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
SYKESVILLE, MD
Past
January 18, 2000 - December 31, 2002
CBIZ FINANCIAL SOLUTIONS, INC.
RIA
CRD#: 16678
COLUMBIA, MD
Past
September 2, 1999 - June 13, 2003
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
Past
June 22, 1994 - August 30, 1999
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ROCKVILLE, MD
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
Delaware(4/6/2017)
RR
Florida(7/20/2022)
RR
Maryland(4/6/2017)
IAR
Maryland(4/6/2017)
RR
Pennsylvania(7/20/2022)
RR
Texas(2/23/2024)
RR
Virginia(4/6/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
