JT
Jerry E. Tuma
INDEPENDENT FINANCIAL GROUP
Dallas, TX 75244
Some features on this profile are disabled
CRD#: 730104
JT
Professional summary
Jerry Ernest Tuma, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Dallas, Texas.
Jerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Jerry has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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) LIBERTY SILVER & GOLD, LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/05/2010 ADDRESS: 4851 Lbj Fwy, Suite 1175, Dallas TX 75244, United States DESCRIPTION: 100% OWNER OF LIBERTY SILVER & GOLD, LLC PROVIDING THE SALE OF GOLD AND SILVER PHYSICAL BULLION AND COINS. (2) CORNERSTONE FINANCIAL SERVICES POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 09/01/1983 ADDRESS: 4851 Lbj Fwy, Suite 1175, Dallas TX 75244, United States DESCRIPTION: 100% OWNER/INVESTMENT ADVISER REPRESENTATIVE OF CORNERSTONE FINANCIAL SERVICES, INC. A STATE REGISTERED INVESTMENT ADVISER PROVIDING ADVISORY SERVICES. (3) INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/05/1980 ADDRESS: 4851 Lbj Fwy, Suite 1175, Dallas TX 75244, United States DESCRIPTION: TX INSURANCE AGENT OFFERINGS SALES OF VARIOUS INSURANCE PRODUCTS. (4) AUTHOR/PUBLIC SPEAKER POSITION: Officer/Director NATURE: Public Speaking INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/02/1994 ADDRESS: 4851 Lbj Fwy, Suite 1175, Dallas TX 75244, United States DESCRIPTION: AUTHOR & PUBLIC SPEAKER PROVIDING SPEAKING ENGAGEMENTS AND SALES OF BOOKS. CORNERSTONE FINANCIAL SERVICES, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2024 ADDRESS: 4851 Lbj Fwy, Suite 1175, Dallas TX 75244, United States DESCRIPTION: Previously this was outside RIA activity; now deregistered. Various advisory and registered rep activities. Client recommendations and service, investment and economic research, assortedcompliance/legal interface, general input on operations of business.
CRS (Client Relationship Summary) - RIA
Click below to view Jerry Ernest Tuma's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jerry Ernest Tuma'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: 1988
Experience
Current
January 8, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4851 Lbj Fwy Suite 1175, Dallas, TX 75244RIA
BD
CRD#: 7717
Dallas, TX
Current
May 16, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4851 Lbj Fwy Suite 1175, Dallas, TX 75244RIA
BD
CRD#: 7717
Dallas, TX
Past
January 15, 2013 - January 15, 2013
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
September 17, 2008 - May 15, 2012
CAMBRIDGE LEGACY SECURITIES L.L.C.
BD
CRD#: 103722
DALLAS, TX
Past
October 31, 2005 - September 19, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
DALLAS, TX
Past
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 26, 1987 - December 31, 2023
CORNERSTONE FINANCIAL SERVICES, INC.
RIA
CRD#: 112278
DALLAS, TX
Past
May 6, 1982 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
May 14, 1981 - November 25, 1981
WADDELL & REED
BD
CRD#: 866
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
Alabama(12/24/2014)
RR
Alaska(1/27/2015)
RR
Arizona(11/10/2020)
RR
Arkansas(5/9/2019)
RR
California(5/16/2012)
RR
Colorado(5/16/2012)
RR
Florida(5/17/2012)
RR
Georgia(1/3/2014)
RR
Idaho(8/10/2020)
RR
Illinois(5/17/2012)
RR
Indiana(5/23/2012)
RR
Louisiana(5/16/2012)
RR
Massachusetts(5/23/2012)
RR
Michigan(5/22/2012)
RR
Minnesota(5/21/2012)
RR
Mississippi(5/25/2012)
RR
Montana(8/29/2022)
RR
New Hampshire(1/2/2014)
RR
New Jersey(5/16/2012)
RR
New Mexico(5/22/2012)
RR
New York(5/21/2012)
RR
North Carolina(5/16/2012)
RR
Ohio(5/18/2012)
RR
Oklahoma(5/21/2012)
RR
Oregon(5/16/2012)
RR
Pennsylvania(5/26/2020)
RR
South Carolina(5/25/2012)
RR
Tennessee(6/4/2014)
RR
Texas(5/21/2012)
IAR
Texas(1/8/2018)
RR
Virginia(5/16/2012)
RR
Washington(5/29/2012)
RR
Wisconsin(10/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
