RG
Richard H. Greene
INDEPENDENT FINANCIAL GROUP
Madisonville, LA
Some features on this profile are disabled
CRD#: 5892116
RG
Professional summary
Richard Harold Greene JR, CFP®, who also goes by Richard Harold Greene, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Madisonville, Louisiana.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Richard has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Harold Greene
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) RICHARD H GREENE JR CPA, LLC POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 07/01/1994 ADDRESS: 536 Pelican Ridge Dr., Madisonville LA 70447, United States DESCRIPTION: Tax preparation and accounting services (2) SIZELER REALTY CO. POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 50 START DATE: 07/01/1996 ADDRESS: 1750 Clearview Pkwy, Metairie LA 70001, United States DESCRIPTION: Chief Financial Officer, Director, of real estate services company offering sales, leasing, and commercial property management. (3) FIRST PRIVATE TRUST POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: 1750 Clearview Pkwy., Suite 200, Metairie LA 70001, United States DESCRIPTION: Chief Financial Officer, Director, of company offering asset management services, including commercial property management (4) STUMPF REALTY POSITION: Agent/Representative NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2005 ADDRESS: 536 Pelican Ridge Dr., Madisonville LA 70447, United States DESCRIPTION: Real estate services including sales and leasing (5) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/20/2011 ADDRESS: 536 Pelican Ridge Dr., Madisonville LA 70447, United States DESCRIPTION: Insurance agent (6) TOROSO FINANCIAL GROUP POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2021 ADDRESS: 536 Pelican Ridge Dr., Madisonville LA 70447, United States DESCRIPTION: Registered representative at DBA used for marketing purposes NEW ORLEANS WINE & FOOD EXPERIENCE POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/19/2024 ADDRESS: 900 Camp St, #4C1, New Orleans LA 70130, United States DESCRIPTION: Director and Treasurer for the non-profit organization. Review the financial reports that are provided by an outside independent accounting firm and present highlights/summary of the reports to the board of directors at board meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Harold Greene JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Harold Greene JR'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®
CFP®
Start date: 2008
Experience
Current
October 29, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Madisonville, LA
Current
October 29, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Madisonville, LA
Past
November 1, 2017 - November 1, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MADISONVILLE, LA
Past
November 1, 2017 - November 1, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MADISONVILLE, LA
Past
July 2, 2017 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
MADISONVILLE, LA
Past
September 17, 2013 - July 2, 2017
ASSET ONE LLC
RIA
CRD#: 106276
MANDEVILLE, LA
Past
May 6, 2011 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
MADISONVILLE, LA
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
Georgia(10/29/2021)
RR
Louisiana(10/29/2021)
IAR
Louisiana(10/29/2021)
RR
Mississippi(11/28/2022)
RR
Missouri(10/29/2021)
RR
Texas(10/29/2021)
IAR
Texas(10/29/2021)
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.
