RM
Richard R. Mireles
INDEPENDENT FINANCIAL GROUP
San Diego, CA 92130
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CRD#: 5288651
RM
Professional summary
Richard Randy Mireles is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 2 firms and has passed the Series 66, SIE, Series 7 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) CA TAX PREPARER OFFERING SEASONAL TAX PREPARATION FOR "H&R BLOCK" SINCE 2009. NON INVESTMENT RELATED. APPROXIMATELY 20% TIME SPENT. BUSINESS CONDUCTED AT 5658 MISSION CENTER ROAD, SAN DIEGO, CA 92108. (2) CA INSURANCE AGENT - LICENSED LIFE & HEALTH AGENT SINCE 2005. NON INVESTMENT RELATED. LESS THAN 1% TIIME SPENT. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (3) CA REAL ESTATE AGENT OFFERING REAL ESTATE SERVICES SINCE 1996. NON-INVESTMENT RELATED. LESS THAN 1% TIME SPENT. MIRELES TAX SERVICES POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2008 ADDRESS: 3420 Ediwhar Ave, San Diego CA 92123, United States DESCRIPTION: Tax Preparation RENTAL PROPERTY POSITION: Property Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 12/01/1997 ADDRESS: 4764 Tweedy Blvd., South Gate CA 90280, United States DESCRIPTION: Landlord RICHARD RANDY MIRELES POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/29/2004 ADDRESS: 3420 Ediwhar Ave, San Diego CA 92123, United States DESCRIPTION: Fixed insurance outside of IFG.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Randy Mireles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Randy Mireles'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 26, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Suite 200, San Diego, CA 92130Office #2: 12671 High Bluff Dr Suite 200, San Diego, CA 92130Office #3: 12671 High Bluff Dr Ste 200, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Current
May 25, 2010 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 12671 High Bluff Dr Suite 200, San Diego, CA 92130Office #2: 12671 High Bluff Drive Suite 200, San Diego, CA 92130Office #3: 12671 High Bluff Dr Ste 200, San Diego, CA 92130RIA
BD
CRD#: 7717
San Diego, CA
Past
June 3, 2008 - May 20, 2010
WFP SECURITIES
RIA
CRD#: 35098
SAN DIEGO, CA
Past
May 24, 2007 - May 20, 2010
WFP SECURITIES
BD
CRD#: 35098
SAN DIEGO, 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
California(5/25/2010)
IAR
California(5/26/2010)
RR
Indiana(9/26/2022)
RR
Virginia(9/28/2022)
Exams
State Security Law 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.
