DC
Douglas S. Corey
INDEPENDENT FINANCIAL GROUP
Fairfax, VA 22030
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CRD#: 5433674
DC
Professional summary
Douglas Sawyer Corey is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Fairfax, Virginia.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Douglas has worked at 3 firms and has passed the Series 66, SIE and Series 7 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) DOUGLAS COREY & ASSOCIATES, P.C. POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 12/01/1990 ADDRESS: 10201 Fairfax Blvd, Suite 480, Fairfax VA 22030, United States DESCRIPTION: CPA FIRM. (2) DOUGLAS COREY & ASSOCIATES, P.C. POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 80 START DATE: 10/01/2007 ADDRESS: 10201 Fairfax Blvd, Suite 480, Fairfax VA 22030, United States DESCRIPTION: DBA NAME FOR MARKETING PURPOSES. (3) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 11/01/2008 ADDRESS: 10201 Fairfax Blvd, Suite 480, Fairfax VA 22030, United States DESCRIPTION: OUTSIDE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Sawyer Corey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Sawyer Corey'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
August 8, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 10201 Fairfax Blvd, Suite 480, Fairfax, VA 22030RIA
BD
CRD#: 7717
Fairfax, VA
Current
August 8, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 10201 Fairfax Blvd, Suite 480, Fairfax, VA 22030RIA
BD
CRD#: 7717
Fairfax, VA
Past
April 1, 2021 - August 8, 2022
GROVE POINT ADVISORS, LLC
RIA
CRD#: 313171
Fairfax, VA
Past
November 15, 2007 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
Fairfax, VA
Past
November 7, 2007 - August 8, 2022
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Fairfax, VA
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(9/12/2022)
RR
California(8/8/2022)
RR
District of Columbia(8/8/2022)
RR
Florida(8/8/2022)
RR
Georgia(12/10/2024)
RR
Maine(8/8/2022)
RR
Maryland(8/8/2022)
RR
Nevada(8/8/2022)
RR
New Hampshire(8/8/2022)
RR
North Carolina(8/16/2022)
RR
Pennsylvania(8/8/2022)
RR
South Carolina(8/8/2022)
RR
Texas(8/8/2022)
RR
Utah(1/29/2025)
RR
Virginia(8/8/2022)
IAR
Virginia(8/8/2022)
RR
West Virginia(8/8/2022)
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.
