DH
David K. Hansch
INDEPENDENT FINANCIAL GROUP
San Juan Capistrano, CA
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CRD#: 1020500
DH
Professional summary
David Karl Hansch, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in San Juan Capistrano, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. David has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) HANSCH FINANCIAL GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/02/1984 ADDRESS: 27602 Silvercreek Drive, San Juan Capistrano CA 92675, United States DESCRIPTION: 50% OWNER OF DBA HANSCH FINANCIAL GROUP USED TO MARKET SECURITIES AND ADVISORY SERVICES. (2) GRAND LODGE FREE AND ACCEPTED MASONS OF CA INVESTMENT COMMITTEE POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2019 ADDRESS: 1650 E. Old Badillo Street, Covina CA 91724, United States DESCRIPTION: Grand Lodge Free and Accepted Masons of CA Member of the Investment Committee. (3) SADDLEBACK LAGUNA MASONIC LODGE POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2014 ADDRESS: 23685 Birtcher Drive, Lake Forest CA 92630, United States DESCRIPTION: Chairman of the Investment Committee of Saddleback Laguna Masonic Lodge (4) DAVID K. HANSCH POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 02/01/1978 ADDRESS: 27602 Silvercreek Drive, San Juan Capistrano CA 92675, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view David Karl Hansch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Karl Hansch's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Current
November 30, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
San Juan Capistrano, CA
Current
November 30, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
San Juan Capistrano, CA
Past
May 5, 2008 - December 12, 2017
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SAN JUAN CAPISTRANO, CA
Past
April 22, 2008 - December 12, 2017
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAN JUAN CAPISTRANO, CA
Past
September 21, 2007 - December 31, 2013
HANSCH FINANCIAL GROUP, LLC
RIA
CRD#: 133020
DANA POINT, CA
Past
February 14, 2005 - December 31, 2005
HANSCH FINANCIAL GROUP, LLC
RIA
CRD#: 133020
SAN JUAN CAPISTRANO, CA
Past
December 14, 2001 - April 23, 2008
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
SAN JUAN CAPISTRANO, CA
Past
June 2, 1999 - April 23, 2008
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
RANCHO SANTA FE, CA
Past
July 24, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
July 24, 1995 - November 17, 1998
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
October 7, 1991 - July 19, 1995
BMA FINANCIAL SERVICES, INC.
BD
CRD#: 7943
KANSAS CITY, MO
Past
June 28, 1983 - February 26, 1988
FINANCIAL ADVISORY CLINIC INVESTMENTS, INC.
BD
CRD#: 5990
Past
August 17, 1982 - September 16, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/30/2017)
IAR
California(11/30/2017)
RR
Colorado(11/30/2017)
RR
Indiana(2/18/2024)
RR
Massachusetts(1/2/2018)
RR
New Jersey(11/30/2017)
RR
New Mexico(11/30/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
