CR
Carl J. Riding
INDEPENDENT FINANCIAL GROUP
St. George, UT 84770
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CRD#: 5977700
CR
Professional summary
Carl John Riding is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in St. George, Utah.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Carl has worked at 3 firms and has passed the Series 66, Series 63, 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) UHSAA (UTAH HIGH SCHOOL ATHLETICS ASSOCIATION) POSITION: Independent Contractor NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 12/04/2019 ADDRESS: 199 E 7200 S, Midvale UT 84047, United States DESCRIPTION: Officiate High school Wrestling matches. (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2013 ADDRESS: 1031 South Bluff Street, Suite 216, St. George UT 84770, United States DESCRIPTION: UT INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (3) RIDING WEALTH MANAGEMENT POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 01/05/2019 ADDRESS: 1031 South Bluff Street, Suite 216, St. George UT 84770, United States DESCRIPTION: INVESTMENT ADVISER REPRESENTATIVE AT DBA USED FOR MARKETING PURPOSES (4) CAPSTONE CONSULTING GROUP POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 06/14/2016 ADDRESS: 1031 South Bluff Street, Suite 216, St. George UT 84770, United States DESCRIPTION: Agent of DBA Capstone Consulting Group used for marketing purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Carl John Riding's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carl John Riding'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 26, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1031 South Bluff Street Suite 216, St. George, UT 84770RIA
BD
CRD#: 7717
St. George, UT
Current
June 14, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1031 South Bluff Street Suite 216, St. George, UT 84770RIA
BD
CRD#: 7717
St. George, UT
Past
September 8, 2015 - June 22, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SALT LAKE CITY, UT
Past
March 27, 2015 - September 1, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
AMERICAN FORK, UT
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(6/14/2016)
RR
Utah(6/14/2016)
IAR
Utah(7/26/2016)
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.
