GD
Gene A. De Young
INDEPENDENT FINANCIAL GROUP
Rancho Cucamonga , CA
Some features on this profile are disabled
CRD#: 4338926
GD
Professional summary
Gene Alen De Young, who also goes by Gene Alen Deyoung, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Rancho Cucamonga , California.
Gene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Gene has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gene Alen Deyoung
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) INVESTMENT ADVISOR REPRESENTATIVE FOR DBA "PROFESSIONAL ADVISORY SERVICES" SINCE 2007. INVESTMENT RELATED. APPROXIMATELY 85% TIME SPENT. ACTIVITY CONDUCTED AT BUSINESS ADDRESS OF RECORD. (2) Rental Property POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2005 ADDRESS: 1029 E. Edgecomb St., Covina CA 91724, United States DESCRIPTION: 100% OWNER OF RENTAL PROPERTY (3) GENE DE YOUNG, INC. POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2008 ADDRESS: 255 E. Santa Clara St., Ste. 300, Arcadia CA 91006, United States DESCRIPTION: CA INSURANCE AGENT AND 100% OWNER OF GENE DE YOUNG INC, PROVIDING VARIOUS TYPES OF INSURANCE PRODUCTS. (4) TEAM REFERRAL NETWORK POSITION: Volunteer NATURE: Referral Services INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 01/01/2017 ADDRESS: 5901 Old Wheeler Rd., La Verne CA 91750, United States DESCRIPTION: Referral network of business professionals (5) NICOLE & GENE DE YOUNG POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2005 ADDRESS: 3257 Orchid Way, Prescott AZ 86305, United States DESCRIPTION: 100% OWNER OF RENTAL PROPERTY (6) GENE & NICOLE DE YOUNG AIRBNB POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 07/23/2021 ADDRESS: 22365 Pine Dr., Cedarpines Park CA 92322, United States DESCRIPTION: Oversee & monitor hired property management firm, Turnkey Properties, as they market our vacation home to short-term renting clients. GENE DE YOUNG, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2008 ADDRESS: 255 E. Santa Clara St., Ste. 300, Arcadia CA 91006, United States DESCRIPTION: Oversee all operations as well as leadership of firm as an S-Corporation. NICOLE & GENE DE YOUNG POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2005 ADDRESS: 3257 Orchid Way, Prescott AZ 86305, United States DESCRIPTION: Share in making executive decisions with regards to a single family home real estate investment with the goal of realizing profitable outcomes. NICOLE & GENE DE YOUNG POSITION: Along with spouse, serve as owner and landlords of two residential rental properties. One in AZ & one in CA. NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 5 START DATE: 09/01/2023 ADDRESS: 22365 Pine Dr., Cedarpines Park CA 92322, United States DESCRIPTION: Monitor business activities of third party property management firms that have been hired to address rental / tenant business. TEAM REFERRAL NETWORK POSITION: Volunteer NATURE: Referral Services INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 01/01/2017 ADDRESS: 5901 Old Wheeler Rd., La Verne CA 91750, United States DESCRIPTION: As member of organization attend meetings and refer business to other members as means generating return referrals from them. MOUNTAIN VIEW INVESTMENTS POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/15/2025 ADDRESS: 9369 Placer St., Ste. 300, Rancho Cucamonga CA 91730, United States DESCRIPTION: Providing RR & IAR licensed securities, and investment advice offerings to clients seeking financial investment guidance.
CRS (Client Relationship Summary) - RIA
Click below to view Gene Alen De Young's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gene Alen De Young'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
July 2, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Rancho Cucamonga , CA
Current
July 2, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Rancho Cucamonga , CA
Past
November 1, 2017 - July 6, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Glendora, CA
Past
November 1, 2017 - July 6, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Glendora, CA
Past
June 13, 2008 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
ARCADIA, CA
Past
June 13, 2008 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
ARCADIA, CA
Past
December 6, 2007 - June 13, 2008
OSAIC SERVICES, INC.
RIA
CRD#: 133763
ARCADIA, CA
Past
June 26, 2007 - June 13, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
ARCADIA, CA
Past
April 25, 2006 - May 18, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
PASADENA, CA
Past
September 11, 2003 - May 18, 2007
TD AMERITRADE, INC.
RIA
CRD#: 7870
PASADENA, CA
Past
February 28, 2001 - May 18, 2007
TD AMERITRADE, INC.
BD
CRD#: 7870
PASADENA, CA
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(7/2/2018)
RR
California(7/2/2018)
IAR
California(7/5/2018)
RR
Colorado(10/26/2022)
RR
Florida(7/2/2018)
RR
Illinois(7/2/2018)
RR
Massachusetts(11/11/2021)
RR
North Carolina(7/2/2018)
RR
Oregon(3/24/2022)
RR
Pennsylvania(11/29/2022)
RR
Texas(7/2/2018)
IAR
Texas(7/2/2018)
RR
Utah(7/16/2019)
RR
Washington(7/2/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
