GM
Gloria F. Makino
INDEPENDENT FINANCIAL GROUP
Glenelg, MD 21737
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CRD#: 7425095
GM
Professional summary
Gloria Faye Makino is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Glenelg, Maryland.
Gloria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Gloria has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
MAKINO FINANCIAL POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2021 ADDRESS: 4128 Sharp Road, Glenelg MD 21737, United States DESCRIPTION: DBA FREELANCE PERFORMING ARTIST POSITION: Independent Contractor NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/1994 ADDRESS: 529 Columbus Ave, & Various Locations, New York NY 10024, United States DESCRIPTION: singer, actress, dancer, pianist, teacher
CRS (Client Relationship Summary) - RIA
Click below to view Gloria Faye Makino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gloria Faye Makino'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
October 3, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4128 Sharp Road, Glenelg, MD 21737RIA
BD
CRD#: 7717
Glenelg, MD
Current
October 3, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 4128 Sharp Road, Glenelg, MD 21737RIA
BD
CRD#: 7717
Glenelg, MD
Past
April 17, 2024 - October 9, 2025
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
GLENELG, MD
Past
February 6, 2024 - October 9, 2025
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
GLENELG, MD
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(10/3/2025)
RR
California(10/3/2025)
RR
Delaware(10/3/2025)
RR
Florida(10/3/2025)
RR
Georgia(10/3/2025)
RR
Maryland(10/3/2025)
IAR
Maryland(10/3/2025)
RR
Massachusetts(10/3/2025)
RR
Michigan(10/3/2025)
RR
New Jersey(10/3/2025)
RR
New York(10/3/2025)
IAR
New York(10/3/2025)
RR
North Carolina(10/6/2025)
RR
Oregon(10/7/2025)
RR
Pennsylvania(10/3/2025)
RR
Texas(10/3/2025)
IAR
Texas(10/3/2025)
RR
Virginia(10/3/2025)
RR
Washington(10/3/2025)
RR
West Virginia(10/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/6/2024
General Securities Representative ExaminationGeneral 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.
