WH
Walter J. Hansch
INDEPENDENT FINANCIAL GROUP
Solana Beach, CA
Some features on this profile are disabled
CRD#: 1176591
WH
Professional summary
Walter John Hansch, who also goes by John Hansch, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Solana Beach, California.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Walter has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Hansch
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) REAL ESTATE BROKER POSITION: Agent/Representative NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/1986 ADDRESS: 616 Camino Ynez, Solana Beach CA 92075, United States DESCRIPTION: CA REAL ESTATE AGENT FOR PERSONAL USE ONLY. (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/1986 ADDRESS: 616 Camino Ynez, Solana Beach CA 92075, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (3) HANSCH FINANCIAL GROUP POSITION: Owner/Partner in firm NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/1986 ADDRESS: Solana Beach CA 92075, United States DESCRIPTION: 50% OF DBA HANSCH FINANCIAL GROUP USED FOR MARKETING PURPOSES. (4) HANSCH FINANCIAL GROUP POSITION: Independent Contractor NATURE: Consulting Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2022 ADDRESS: Solana Beach CA 92075, United States DESCRIPTION: Tax Planning Strategies to help reduce tax liabilities for clients
CRS (Client Relationship Summary) - RIA
Click below to view Walter John Hansch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Walter John 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®
NoneExperience
Current
November 17, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Solana Beach, CA
Current
November 16, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Solana Beach, CA
Past
October 1, 2008 - December 12, 2017
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SAN DIEGO, CA
Past
April 22, 2008 - December 12, 2017
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAN DIEGO, CA
Past
September 25, 2007 - December 31, 2013
HANSCH FINANCIAL GROUP, LLC
RIA
CRD#: 133020
RANCHO SANTA FE, CA
Past
February 14, 2005 - December 31, 2005
HANSCH FINANCIAL GROUP, LLC
RIA
CRD#: 133020
RANCHO SANTA FE, CA
Past
March 1, 1999 - April 23, 2008
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
RANCHO SANTA FE, CA
Past
March 1, 1999 - April 23, 2008
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
RANCHO SANTA FE, CA
Past
October 8, 1998 - 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 25, 1998
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
October 28, 1991 - July 19, 1995
BMA FINANCIAL SERVICES, INC.
BD
CRD#: 7943
KANSAS CITY, MO
Past
September 19, 1986 - October 22, 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
Arizona(6/25/2019)
RR
California(11/16/2017)
IAR
California(11/17/2017)
RR
Colorado(11/16/2017)
RR
Montana(1/22/2018)
RR
Nevada(11/16/2017)
RR
New Hampshire(1/3/2018)
RR
New Jersey(11/16/2017)
RR
South Dakota(11/16/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
