RS
Russell T. Sadler
INDEPENDENT FINANCIAL GROUP
Plymouth, MA 02360
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CRD#: 4016597
RS
Professional summary
Russell Todd Sadler is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Plymouth, Massachusetts.
Russell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Russell has worked at 5 firms and has passed the Series 65, 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) SADLER FINANCIAL GROUP, LTD POSITION: Independent Contractor NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 30 START DATE: 06/01/1999 ADDRESS: 64R Industrial Park Rd, Plymouth MA 02360, United States DESCRIPTION: INDEPENDENT CONTRACTOR OF SADLER FINANCIAL GROUP, LTD, PROVIDING TAX AND ACCOUNTING SERVICES. (2) SAPENTIA, INC POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2008 ADDRESS: 65 Caravel Dr, East Falmouth MA 02536, United States DESCRIPTION: 100% OWNER OF SAPENTIA, INC, PROVIDING TAX AND BOOKKEEPING SERVICES. (3) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2001 ADDRESS: 64 Industrial Park Rd., Plymouth MA 02360, United States DESCRIPTION: MA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (4) FALMOUTH THEATRE GUILD POSITION: Officer/Director NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 60 Highfield Dr, Falmouth MA 02540, United States DESCRIPTION: Board of Directors member, House Manager for facilities maintenance/repair. (5) NOTARY POSITION: Officer/Director NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: 64 Industrial Park Rd., Plymouth MA 02360, United States DESCRIPTION: Notary
CRS (Client Relationship Summary) - RIA
Click below to view Russell Todd Sadler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Russell Todd Sadler'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
October 20, 2014 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 64 Industrial Park Rd., Plymouth, MA 02360RIA
BD
CRD#: 7717
Plymouth, MA
Current
August 28, 2014 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 64 Industrial Park Rd., Plymouth, MA 02360RIA
BD
CRD#: 7717
Plymouth, MA
Past
April 16, 2013 - September 23, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
PLYMOUTH, MA
Past
February 15, 2013 - September 23, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
PLYMOUTH, MA
Past
May 4, 2006 - February 28, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
PLYMOUTH, MA
Past
November 9, 2001 - February 28, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
PLYMOUTH, MA
Past
January 24, 2001 - July 12, 2001
FIRST DUNBAR SECURITIES CORPORATION
BD
CRD#: 17901
EAST BERLIN, CT
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
Florida(10/6/2014)
RR
Hawaii(8/10/2016)
RR
Massachusetts(8/28/2014)
IAR
Massachusetts(10/20/2014)
RR
New York(10/6/2016)
RR
Pennsylvania(8/28/2014)
RR
Rhode Island(8/28/2014)
RR
Virginia(4/16/2019)
RR
Washington(8/17/2021)
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#: 7717Plymouth, MA 02360TRUST BUT VERIFY
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