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Robert Gunning

Independent Financial Group, LLC
38 Years of Experience
Fresno, CA
13 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Robert Gunning is a registered investment advisor at Independent Financial Group, LLC, based in Fresno, CA, with 38 years of industry experience. Robert 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

1318 East Shaw Avenue, Suite 200, Fresno, CA, 93710

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History

Regulatory History (13)
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.
Judgment / Lien
May 2022
Judgment / Lien
December 2020
Judgment / Lien
November 2020
Judgment / Lien
September 2020
Judgment / Lien
September 2020
Judgment / Lien
March 2020
Judgment / Lien
March 2020
Judgment / Lien
January 2020
Judgment / Lien
March 2019
Judgment / Lien
May 2018
Employment Separation After Allegations
February 2018
Customer Dispute
April 2004
Denied
Customer Dispute
January 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Robert is a California insurance agent offering various types of insurance products, dedicating nearly full-time hours to this activity. He is also a registered representative at Capital Financial & Insurance Services Inc (DBA for marketing), and a volunteer board member for the East Fresno Rotary Club and Reading and Beyond, dedicating a few hours per week to each.

Employment History
Current Registrations
Independent Financial Group, LLC
February 2018 - Present · 8 yrs 8 mos
Independent Financial Group, LLCBroker
February 2018 - Present · 8 yrs 8 mos
Previous Registrations
Principal Securities, INC.
February 2010 - February 2018 · 8 yrs
Principal Securities, INC.Broker
January 2010 - February 2018 · 8 yrs 1 mo
Wedbush Morgan Securities INC.
January 2009 - January 2010 · 1 yr
Wedbush Morgan Securities INC.Broker
January 2009 - January 2010 · 1 yr
UBS Financial Services INC.
November 2003 - January 2009 · 5 yrs 2 mos
UBS Financial Services INC.Broker
November 2003 - January 2009 · 5 yrs 2 mos
Citigroup Global Markets INC.
June 2000 - December 2003 · 3 yrs 6 mos
Citigroup Global Markets INC.Broker
July 1993 - December 2003 · 10 yrs 5 mos
Lehman Brothers INC.Broker
February 1992 - July 1993 · 1 yr 5 mos
Painewebber IncorporatedBroker
January 1988 - February 1992 · 4 yrs 1 mo
State Registrations4 states
CADENYWA
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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