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Mark Ruleman

Independent Financial Group, LLC
39 Years of Experience
Memphis, TN
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Mark Ruleman is a registered investment advisor at Independent Financial Group, LLC, based in Memphis, TN, with 39 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 26,635 clients with $13B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
541 advisors
Number of Clients
26,635 clients
Average Client Portfolio
$485K average
Assets Under Management
$12.9B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5M+2.00%

Maximum advisor fee is shown; program fees (0.04% to 0.16%) and transaction charges may apply depending on the selected program. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6000 Poplar Ave, Ste. 250 #244, Memphis, TN, 38119

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2000
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark is an independent insurance agent offering various types of insurance, dedicating a few hours per week to this activity. He also owns Ruleman Asset Management & Planning, a DBA used for marketing securities and advisory services, which takes up nearly all of his time.

Employment History
Current Registrations
Independent Financial Group, LLCBroker
October 2019 - Present · 7 yrs
Independent Financial Group, LLC
October 2019 - Present · 7 yrs
Previous Registrations
Cetera Advisor Networks LLC
August 2019 - November 2019 · 3 mos
Cetera Advisor Networks LLCBroker
November 2017 - November 2019 · 2 yrs
Cetera Advisor Networks LLC
November 2017 - July 2019 · 1 yr 8 mos
Girard Securities, INC.
November 2011 - November 2017 · 6 yrs
Girard Securities, INC.Broker
October 2011 - November 2017 · 6 yrs 1 mo
United Capital Financial Advisers
October 2011 - July 2019 · 7 yrs 9 mos
Raymond James Financial Services Advisors, INC
January 2009 - October 2011 · 2 yrs 9 mos
Raymond James Financial Services
April 2004 - January 2009 · 4 yrs 9 mos
Raymond James Financial Services, INC.Broker
April 2004 - October 2011 · 7 yrs 6 mos
Raymond James & Associates, INC.
March 1999 - May 2004 · 5 yrs 2 mos
Raymond James & Associates, INC.Broker
March 1999 - May 2004 · 5 yrs 2 mos
Painewebber IncorporatedBroker
August 1994 - April 1999 · 4 yrs 8 mos
J.C. Bradford & CO.Broker
November 1992 - August 1994 · 1 yr 9 mos
The Robinson-Humphrey Company INC.Broker
March 1987 - December 1992 · 5 yrs 9 mos
State Registrations10 states
CACOINMOMSNCOHPATNWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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