RM
Roberto L. Maldonado
INDEPENDENT FINANCIAL GROUP
Guaynabo, PR 00968
Some features on this profile are disabled
CRD#: 5093698
RM
Professional summary
Roberto Luis Maldonado, who also goes by Roberto Maldonado, Roberto L Maldonado Rodriguez, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Guaynabo, .
Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Roberto has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roberto Maldonado | Roberto L Maldonado Rodriguez
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) PENSION ADVISORS PUERTO RICO POSITION: Partner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/01/2017 ADDRESS: Metro Office Park, #3 Calle 1 Ste. 520, Guaynabo PR 00968, United States DESCRIPTION: AN SEC REGISTERED RIA OFFERING PENSION AND ADVISORY SERVICES (2) FOR PROGRESS INVESTMENTS, LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2016 ADDRESS: 5803 CALLE TARTAK APT 1504, COND RACQUET CLUB, CAROLINA PR 00979, United States DESCRIPTION: PRESIDENT/TREASURER OF PROGRESS INVESTMENTS LLC, ESTABLISHED WITH SPOUSE FOR VACATION RENTAL INCOME. (3) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2017 ADDRESS: Metro Office Park, #3 Calle 1 Ste. 520, Guaynabo PR 00968, United States DESCRIPTION: PUERTO RICO LICENSED INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (4) DBA MOVING FORWARD POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/29/2018 ADDRESS: 5803 CALLE TARTAK APT 408, COND RACQUET CLUB, CAROLINA PR 00979, United States DESCRIPTION: 100% OWNER OF MOVING FORWARD A REAL ESTATE HOLDING COMPANY OWNING A RENTAL PROPERTY. (5) ASTRALIS RESIDENCES & CLUB POSITION: Treasurer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 09/01/2024 ADDRESS: 9546 Calle Diaz Way, Carolina PR 00979, United States DESCRIPTION: I will have a monthly look at the association P&L, Balance sheet and its Aging and report to the Board any observations and/or recommendations. I will also help the Board and the administration office prepare the annual Budget. (6) SCOUTS OF AMERICA - PACK 35 POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2024 ADDRESS: 9546 Calle Diaz Way, Apt 421, Carolina PR 00979, United States DESCRIPTION: Received scouts entry fees payable to the sponsoring school (Parkville School), prepare operating budget, monthly reconciliation and review P&L PENSION ADVISORS PUERTO RICO POSITION: Partner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/01/2017 ADDRESS: Metro Office Park 1 Lot 3, Ste. 520, Guaynabo PR 00968, United States DESCRIPTION: A DBA used for marketing purposes. RMDT, LLC POSITION: Owner and Administrator NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/30/2025 ADDRESS: 9546 Calle Diaz Way, Apt. 421, Carolina PR 00979, United States DESCRIPTION: Administrative duties. Receive advisory compensation and cover necesary expenses.
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Luis Maldonado's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roberto Luis Maldonado'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 21, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: Metro Office Park St. 1 Lot 3 Ste. 520, Guaynabo, PR 00968RIA
BD
CRD#: 7717
Guaynabo, PR
Current
July 21, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: Metro Office Park St. 1 Lot 3 Ste. 520, Guaynabo, PR 00968RIA
BD
CRD#: 7717
Guaynabo, PR
Past
October 16, 2018 - February 25, 2021
ADVISEME NATIONAL ADVISORS
RIA
CRD#: 141129
GUAYNABO, PR
Past
October 29, 2009 - July 26, 2017
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
San Juan, PR
Past
March 21, 2006 - July 26, 2017
SANTANDER SECURITIES LLC
BD
CRD#: 41791
San Juan, PR
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
California(8/9/2024)
RR
Florida(8/23/2017)
RR
Illinois(9/3/2020)
RR
Indiana(3/4/2021)
RR
Massachusetts(6/9/2022)
RR
New Jersey(12/1/2023)
RR
New Mexico(3/28/2023)
RR
New York(7/21/2017)
RR
North Carolina(2/25/2021)
RR
Puerto Rico(7/21/2017)
IAR
Puerto Rico(7/21/2017)
IAR
Texas(4/28/2021)
RR
Texas(6/23/2021)
RR
Virgin Islands(5/9/2024)
Exams
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#: 7717Guaynabo, PR 00968TRUST BUT VERIFY
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