PE
Patrick H. Ehsan
INDEPENDENT FINANCIAL GROUP
Stateline, NV
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CRD#: 1662083
PE
Professional summary
Patrick Hassan Ehsan is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Stateline, Nevada.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Patrick has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 4 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) SIMPLY GOOD FOODS POSITION: Employee NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 32 START DATE: 12/16/2019 ADDRESS: 777 S Aviation Blvd, El Segundo CA 90245, United States DESCRIPTION: I am considered a director of the Small format channel. Calling on small Convenience stores. (2) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1993 ADDRESS: 759 PRADERA WAY, San Ramon CA 94583-5344, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (3) REAL ESTATE POSITION: Independent Contractor NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2001 ADDRESS: 759 PRADERA WAY, San Ramon CA 94583-5344, United States DESCRIPTION: 100% OWNER/ PROPERTY MANAGER, PROVIDING PROPERTY MANAGEMENT SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Hassan Ehsan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Hassan Ehsan'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
February 15, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Stateline, NV
Current
February 14, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Stateline, NV
Past
January 3, 2008 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
LOS ALTOS, CA
Past
January 3, 2008 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
LOS ALTOS, CA
Past
February 20, 1998 - January 2, 2008
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LOS ALTOS, CA
Past
January 22, 1998 - January 2, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LOS ALTOS, CA
Past
August 8, 1994 - January 28, 1998
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 23, 1987 - October 10, 1994
SOARES FINANCIAL GROUP, INC.
BD
CRD#: 16286
Past
May 27, 1987 - November 20, 1987
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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(2/14/2011)
RR
Montana(10/15/2020)
RR
Nevada(1/2/2024)
IAR
Nevada(1/4/2024)
RR
Washington(2/14/2011)
Exams
State Security Law 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.
