PG
Peter J. Giannini
INDEPENDENT FINANCIAL GROUP
Morro Bay, CA
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CRD#: 4584734
PG
Professional summary
Peter Joseph Giannini is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Morro Bay, California.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Peter has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2002 ADDRESS: 1457 Marsh Street #200, San Luis Obispo CA 93401, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) THE BLACK BRANT GROUP POSITION: Board Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2010 ADDRESS: 1575 Little Morro Crk Rd, Morro Bay CA 93442, United States DESCRIPTION: BOARD MEMBER OF THE BLACK BRANT GROUP INC A NON-PROFIT (3)THOM GROUP POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/15/2007 ADDRESS: 1457 Marsh Street #200, San Luis Obispo CA 93401, United States DESCRIPTION: REGISTERED REPRESENTATIVE AT DBA USED FOR MARKETING PURPOSES (4) NEGRANTI GREEN VALLEY LP POSITION: Independent Contractor NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/20/2020 ADDRESS: PO Box 143, Morro Bay CA 93443, United States DESCRIPTION: Independent contractor at family-owned ranch. (5) MORRO BAY PUPS POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/13/2024 ADDRESS: 2990 Juniper Ave, Morro Bay CA 93442, United States DESCRIPTION: I was asked to help on the board for the Morro Bay Dog Park. Role should be limited to periodic meetings about running the 501 (C) 3. ie maintenance, public issues w the park, annual budget etc. J&E GIANNINI PROPERTIES, LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/07/2025 ADDRESS: 1225 Little Morro Creek Road, Morro Bay CA 93442, United States DESCRIPTION: Responsibilities will involve helping manage the real estate and tenant relationships within the LLC. This can range from lease agreements to property management. Property is leased as single family dwellings, ag leases to utility leases for telecom and energy companies.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Joseph Giannini's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Joseph Giannini'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
September 18, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Morro Bay, CA
Current
September 15, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Morro Bay, CA
Past
July 2, 2012 - September 21, 2017
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SAN LUIS OBISPO, CA
Past
November 28, 2007 - November 15, 2017
THE THOM GROUP
RIA
CRD#: 122968
SAN LUIS OBISPO, CA
Past
May 9, 2007 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
SAN LUIS OBISPO, CA
Past
May 9, 2007 - September 21, 2017
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN LUIS OBISPO, CA
Past
November 3, 2003 - May 11, 2007
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SAN LUIS OBISPO, CA
Past
October 2, 2002 - May 11, 2007
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SAN LUIS OBISPO, 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(1/4/2019)
RR
California(9/15/2017)
IAR
California(9/18/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
