Individual Firm
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CHARLES MANN
C MANN, CHARLES C. MANN, Charles C Mann
CRD#: 1010028
IA
B
INDEPENDENT FINANCIAL GROUP, LLCCRD#: 7717 30240 Rancho Viejo Rd; Ste A
San Juan Capistrano, CA 92675
San Juan Capistrano, CA 92675
0
Disclosures
43
Years of Experience
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State Registrations
IA
California 7/8/1997
IA
Nevada 7/15/2022
B
California 7/15/2022
IA
Texas 1/2/2020
B
Nevada 7/15/2022
SRO Registrations
B
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IA
Registered with this firm since 7/15/2022
IA
Registered with this firm since 7/8/1997
B
Registered with this firm since 7/15/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/08/2016 - 07/15/2022 | San Juan Capistrano, CA | |
B | 03/07/2016 - 07/15/2022 | San Juan Capistrano, CA | |
B | 09/09/2014 - 03/17/2016 | SAN JUAN CAPISTRANO, CA | |
B | 08/08/1989 - 05/28/2014 | SAN JUAN CAPISTRANO, CA | |
B | 02/06/1984 - 09/11/1989 | BOSTON, MA | |
B | 07/19/1983 - 01/30/1984 | ||
B | 10/31/1981 - 09/21/1983 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.