FG
Frederick A. Gray
INDEPENDENT FINANCIAL GROUP
Midland, MI
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CRD#: 3174576
FG
Professional summary
Frederick Allan Gray is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Midland, Michigan.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Frederick has worked at 3 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) THOMAS TOWNSHIP BUSINESS ASSOCIATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2004 ADDRESS: 2100 Norwood, Midland MI 48640, United States DESCRIPTION: BOARD OF DIRECTORS OF THOMAS TOWNSHIP BUSINESS ASSOCIATION (2) GRAY FINANCIAL SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 220 SECURITIES TRADING HOURS: 160 START DATE: 08/06/2016 ADDRESS: 2100 Norwood, Midland MI 48640, United States DESCRIPTION: 100% OWNER OF DBA GRAY FINANCNIAL SERVICES USED FOR MARKETING PURPOSES. (3) MIDLAND FIRST UNITED METHODIST POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 315 N larkin, Midland MI 48640, United States DESCRIPTION: BOARD OF DIRECTORS OF MIDLAND FIRST UNITED METHODIST. (4) THOMAS TOWNSHIP DDA POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: Miller Rd, Saginaw MI 48609, United States DESCRIPTION: BOARD OF DIRECTORS OF THOMAS TOWNSHP DDA. THOMAS TOWNSHIP KIWANIS POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 10/01/2024 ADDRESS: 2100 Norwood, Midland MI 48640, United States DESCRIPTION: The club has a small Foundation Fund which is governed by the club Treasurer and Board of 4 at large members.
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Allan Gray's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frederick Allan Gray'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
August 8, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Midland, MI
Current
August 5, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Midland, MI
Past
April 30, 2015 - August 10, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
SAGINAW, MI
Past
March 31, 2015 - August 10, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
SAGINAW, MI
Past
June 25, 2010 - December 26, 2014
EDWARD JONES
RIA
CRD#: 250
SAGINAW, MI
Past
March 16, 1999 - January 14, 2015
EDWARD JONES
BD
CRD#: 250
SAGINAW, MI
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
Alaska(8/11/2016)
RR
Arizona(3/9/2022)
RR
Michigan(8/5/2016)
IAR
Michigan(8/8/2016)
RR
Nevada(2/10/2023)
RR
New York(8/5/2016)
RR
North Carolina(8/5/2016)
RR
Washington(12/2/2016)
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.
