MM
Matthew T. Marcom
INDEPENDENT FINANCIAL GROUP
GEORGETOWN, TX
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CRD#: 3126765
MM
Professional summary
Matthew Thomas Marcom is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Georgetown, Texas.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 27, Series 4 and Series 24 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) NAME OF OTHER BUSINESS: EXPERT WITNESS; INVESTMENT RELATED: NO; ADDRESS: 1109 FLINT RIDGE TRAIL, GEORGETOWN, TX 78628; NATURE OF BUSINESS: EXPERT WITNESS IN SECURITIES LITIGATION; START DATE: 05/2022; POSITION/TITLE/RELATIONSHIP: EXPERT WITNESS; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: TESTIFY AS AN EXPERT IN SECURITIES LITIGATION; (2) NAME OF OTHER BUSINESS: STRATEGIC WEALTH SOLUTIONS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2013; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; EXPERT WITNESS POSITION: Independent Contractor NATURE: Attorney, Legal Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2011 ADDRESS: 1109 Flint Ridge Trail, Georgetown TX 78628, United States DESCRIPTION: prepare reports and testify in industry cases STRATEGIC WEALTH SOLUTIONS POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 150 START DATE: 12/18/2008 ADDRESS: 1109 Flint Ridge Trail, Georgetown TX 78628, United States DESCRIPTION: DBA for my investment practice DOUBLEEAGLE29 LLC POSITION: General Partner NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/13/2025 ADDRESS: 1109 Flint Ridge Trail, Georgetown TX 78628, United States DESCRIPTION: Management and Advisory Services for Strategic Wealth Solutions
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Thomas Marcom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Thomas Marcom'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
November 7, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
GEORGETOWN, TX
Current
November 7, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
GEORGETOWN, TX
Past
March 21, 2024 - November 7, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
San Antonio, TX
Past
April 22, 2019 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GEORGETOWN, TX
Past
April 22, 2019 - November 7, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
GEORGETOWN, TX
Past
December 12, 2008 - April 23, 2019
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
GEORGETOWN, TX
Past
December 12, 2008 - April 23, 2019
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
GEORGETOWN, TX
Past
March 28, 2006 - December 31, 2006
S.B. VALUE PARTNERS, L.P.
RIA
CRD#: 139162
SAN ANTONIO, TX
Past
November 8, 2004 - January 9, 2009
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
SAN ANTONIO, TX
Past
February 11, 2002 - January 9, 2009
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
SAN ANTONIO, TX
Past
November 4, 1998 - February 7, 2002
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
California(11/7/2024)
RR
Colorado(11/7/2024)
RR
Florida(11/7/2024)
RR
Georgia(11/7/2024)
RR
Nevada(11/7/2024)
RR
North Carolina(11/8/2024)
RR
Ohio(11/7/2024)
RR
Oklahoma(11/7/2024)
RR
Texas(11/7/2024)
IAR
Texas(11/7/2024)
RR
Virginia(11/7/2024)
RR
Washington(11/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
