FR
Francesco N. Ruggeri
INDEPENDENT FINANCIAL GROUP
San Diego, CA
Some features on this profile are disabled
CRD#: 4089122
FR
Professional summary
Francesco Natale Ruggeri, who also goes by Frank Ruggeri, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Francesco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Francesco has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Ruggeri
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) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 05/17/2019 ADDRESS: 1825 Chicago St, San Diego CA 92110, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (2) RUGGERI FINANCIAL POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 07/01/2018 ADDRESS: 1825 Chicago St, San Diego CA 92110, United States DESCRIPTION: 100% OWNER OF DBA RUGGERI FINANCIAL USED FOR MARKETING PURPOSES. (3) JU-NI, LLC POSITION: Silent Partner NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2016 ADDRESS: 1335 Fulton Strret, San Francisco CA 94117, United States DESCRIPTION: 5% PASSIVE OWNER IN JU-NI, LLC A OMAKASE RESTAURANT. (4) PMR HOLDING COMPANY POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2011 ADDRESS: 637 Las Colinas, Escondido CA 92029, United States DESCRIPTION: 33% PASSIVE OWNER IN PMR HOLDING COMPANY, LLC WHICH OWNS REAL ESTATE. (5) RUGGERI FAMIY LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2009 ADDRESS: 26571 Chisholm Ct, Hayward CA 94544, United States DESCRIPTION: 100% OWNER OF RUGGERI FAMIY LLC WHICH OWNS RENTAL PROPERTIES. (6) HANDROLL PROJECT, LLC POSITION: Member/Partner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2021 ADDRESS: 598 Guerrero St, San Francisco CA 94110, United States DESCRIPTION: 25% passive owner of restaurant.
CRS (Client Relationship Summary) - RIA
Click below to view Francesco Natale Ruggeri's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Francesco Natale Ruggeri'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
May 17, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
San Diego, CA
Current
May 17, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
San Diego, CA
Past
July 25, 2018 - June 27, 2019
TCFG INVESTMENT ADVISORS, LLC
RIA
CRD#: 166606
Hayward, CA
Past
July 24, 2018 - June 27, 2019
TCFG WEALTH MANAGEMENT, LLC
BD
CRD#: 164153
Austin, TX
Past
July 2, 2013 - July 16, 2018
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
HAYWARD, CA
Past
July 2, 2013 - July 16, 2018
SECURITIES AMERICA, INC.
BD
CRD#: 10205
HAYWARD, CA
Past
January 3, 2011 - June 10, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HAYWARD, CA
Past
January 3, 2011 - June 10, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HAYWARD, CA
Past
April 17, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
HAYWARD, CA
Past
April 16, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
HAYWARD, CA
Past
November 3, 2004 - April 21, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
HAYWARD, CA
Past
February 12, 2002 - April 21, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
HAYWARD, CA
Past
July 3, 2000 - August 3, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(5/17/2019)
RR
California(5/17/2019)
IAR
California(5/17/2019)
RR
Idaho(5/17/2019)
RR
Oregon(5/17/2019)
RR
Texas(7/22/2022)
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.
