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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

ROBERT HOLMES GUNNING

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

Fresno, CA

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Search this name across graphsid dfx:ria:51be94d0-e473-1ed9-513b-6cb5aec28cc6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 13, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT FINANCIAL GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 29, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 29, 1987
First registration: Jun 13, 2000
Dual registered: yes, broker-dealer
Other names: ROB GUNNING|BOB GUNNING
IAPD individual key: 1782016

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Feb 28, 2018	n/a	yes	Fresno, CA	Current employment
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Feb 2, 2010	Feb 9, 2018	no	Fresno, CA	Previous registration
WEDBUSH SECURITIES INC.	Bd affiliated wealth	Jan 13, 2009	Jan 14, 2010	no	PORTLAND, OR\|FRESNO, CA\|ROSEVILLE, CA\|FRESNO, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 14, 2003	Jan 27, 2009	no	FRESNO, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 13, 2000	Dec 11, 2003	no	FRESNO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRINCIPAL SECURITIES, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Feb 9, 2018	Feb 28, 2018	19	Firm change	Other
WEDBUSH SECURITIES INC.	PRINCIPAL SECURITIES, INC.	Jan 14, 2010	Feb 2, 2010	19	Firm change	Other
UBS FINANCIAL SERVICES INC.	WEDBUSH SECURITIES INC.	Jan 27, 2009	Jan 13, 2009	-14	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Dec 11, 2003	Nov 14, 2003	-27	Firm change	Other

Relationships

Registered with (5)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Feb 28, 2018 to presentfactForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Feb 2, 2010 to Feb 9, 2018factForm ADV
→ WEDBUSH SECURITIES INC.Registered adviserregistration: previous registration
Jan 13, 2009 to Jan 14, 2010factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 14, 2003 to Jan 27, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 13, 2000 to Dec 11, 2003factForm ADV

Dated events

No dated event names this entity yet.