ME
Mark D. Elmore
INDEPENDENT FINANCIAL GROUP
Birmingham, AL 35242
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CRD#: 4820374
ME
Professional summary
Mark D Elmore is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Birmingham, Alabama.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 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) MELMOREINV, LLC POSITION: Agent/Representative NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 04/15/2022 ADDRESS: 2 Perimeter Park S, Ste. 140e, Birmingham AL 35243, United States DESCRIPTION: Business entity for tax purposes. (2) CONCOURSE FINANCIAL POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2008 ADDRESS: 2 Perimeter Park S, Ste. 140e, Birmingham AL 35243, United States DESCRIPTION: Outside insurance. (3) KEYSTONE FINANCIAL SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/23/2022 ADDRESS: 2 Perimeter Park S., Ste. 140e, Birmingham AL 35243, United States DESCRIPTION: DBA for marketing purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Mark D Elmore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark D Elmore'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 23, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 44 Inverness Center Park Suite 100, Birmingham, AL 35242RIA
BD
CRD#: 7717
Birmingham, AL
Current
April 26, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 44 Inverness Center Park Suite 100, Birmingham, AL 35242RIA
BD
CRD#: 7717
Birmingham, AL
Past
December 21, 2021 - May 23, 2022
SB ADVISORY, LLC
RIA
CRD#: 154680
Birmingham, AL
Past
December 21, 2021 - May 23, 2022
SAN BLAS SECURITIES LLC
BD
CRD#: 290605
CHICAGO, IL
Past
October 26, 2021 - December 22, 2021
RFG ADVISORY, LLC
RIA
CRD#: 158401
VESTAVIA HILLS, AL
Past
June 4, 2018 - December 21, 2021
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
Birmingham, AL
Past
August 8, 2011 - June 8, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
VESTAVIA HILLS, AL
Past
January 15, 2008 - August 8, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BIRMINGHAM, AL
Past
October 11, 2005 - December 20, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
HUEYTOWN, AL
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
Alabama(5/23/2022)
IAR
Alabama(5/23/2022)
RR
Florida(5/19/2022)
RR
Georgia(4/27/2022)
RR
Mississippi(5/23/2022)
RR
North Carolina(5/24/2022)
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Birmingham, AL 35242TRUST BUT VERIFY
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