Individual Firm
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MARK BILLINGS RULEMAN
CRD#: 1644845
IA
B
INDEPENDENT FINANCIAL GROUP, LLCCRD#: 7717 6000 POPLAR AVE
STE. 250 #244
MEMPHIS, TN 38119
STE. 250 #244
MEMPHIS, TN 38119
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8/30/2011
Judgment / Lien
5/5/2011
Judgment / Lien
11/1/2000
Customer Dispute
Settled
State Registrations
B
California 9/1/2021
B
Ohio 1/25/2021
B
Colorado 10/25/2019
B
Pennsylvania 8/17/2020
B
Indiana 10/5/2021
IA
Tennessee 10/18/2019
B
Mississippi 10/18/2019
B
Tennessee 1/10/2023
B
Missouri 10/18/2019
B
West Virginia 10/18/2019
B
North Carolina 11/6/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/18/2019
B
Registered with this firm since 10/18/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/02/2019 - 11/01/2019 | MEMPHIS, TN | |
B | 11/01/2017 - 11/01/2019 | MEMPHIS, TN | |
IA | 10/03/2011 - 07/17/2019 | MEMPHIS, TN | |
IA | 11/01/2017 - 07/15/2019 | MEMPHIS, TN | |
IA | 11/17/2011 - 11/01/2017 | MEMPHIS, TN | |
B | 10/07/2011 - 11/01/2017 | MEMPHIS, TN | |
IA | 01/02/2009 - 10/03/2011 | MEMPHIS, TN | |
B | 04/23/2004 - 10/03/2011 | MEMPHIS, TN | |
IA | 04/30/2004 - 01/02/2009 | MEMPHIS, TN | |
IA | 03/31/1999 - 05/06/2004 | MEMPHIS, TN | |
B | 03/31/1999 - 05/06/2004 | ST. PETERSBURG, FL | |
B | 08/05/1994 - 04/19/1999 | WEEHAWKEN, NJ | |
B | 11/16/1992 - 08/24/1994 | NEW YORK, NY | |
B | 03/25/1987 - 12/03/1992 | ATLANTA, GA |
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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.