JY
Joseph G. Yurgec
INDEPENDENT FINANCIAL GROUP
Tucson, AZ
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CRD#: 1046095
JY
Professional summary
Joseph Gustav Yurgec is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Tucson, Arizona.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Joseph has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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) YURGEC FINANCIAL SERVICES POSITION: PRESIDENT NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/08/2010 ADDRESS: 10025 East El Poso Trail, Tucson AZ 85749, United States DESCRIPTION: DBA FOR MARKETING PURPOSES (2) JOSEPH G YURGEC INVESTMENT SERVICES, INC POSITION: PRESIDENT AND OWNER NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/12/2012 ADDRESS: 10025 East El Poso Trail, Tucson AZ 85749, United States DESCRIPTION: BUSINESS ENTITY FOR TAX PURPOSES. (3) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/22/2013 ADDRESS: 10025 East El Poso Trail, Tucson AZ 85749, United States DESCRIPTION: OUTSIDE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Gustav Yurgec's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Gustav Yurgec'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®
NoneExperience
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Tucson, AZ
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Tucson, AZ
Past
September 20, 2013 - July 15, 2022
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
TUCSON, AZ
Past
September 5, 2013 - July 15, 2022
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
TUCSON, AZ
Past
September 8, 2009 - September 30, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
TUCSON, AZ
Past
September 8, 2009 - September 30, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
TUCSON, AZ
Past
February 25, 2003 - September 8, 2009
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
TUCSON, AZ
Past
February 25, 2003 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
TUCSON, AZ
Past
December 4, 1998 - September 8, 2009
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
TUCSON, AZ
Past
November 4, 1992 - January 25, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
March 31, 1992 - November 4, 1992
CONSOLIDATED INVESTMENT SERVICES, INC.
BD
CRD#: 7929
LITTLETON, CO
Past
June 18, 1989 - April 1, 1992
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 11, 1984 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
May 24, 1982 - August 24, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Arizona(7/15/2022)
IAR
Arizona(7/15/2022)
RR
California(7/15/2022)
RR
Florida(7/18/2022)
RR
New Mexico(7/15/2022)
RR
Texas(7/15/2022)
RR
Virginia(7/15/2022)
RR
Washington(7/15/2022)
Exams
State Security Law Exam
State Security Law 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.
