JK
John Kolody
INDEPENDENT FINANCIAL GROUP
FLAGSTAFF, AZ 86001
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CRD#: 1780995
JK
Professional summary
John Kolody JR, who also goes by J Kolody, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Flagstaff, Arizona.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. John has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J Kolody
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. JOHN KOLODY JR CPA.SOLE PROPREITOR.TAX PREP/ACCOUNTING.INCOME TAX PREPARATION FOR INDIVIDUALS AND BUSINESSES.DEVOTE 21 TO 40%. ANNUAL INCOME21 TO 40%. ESTABLISHD CONNECTION OCTOBER 1986. 2. JOHN KOLODY INVESTMENTS, P.C. S CORPORATION.I USE THE BUSINESS TO CONSOLIDATE MY PROFITS FRO TIC AS WELL AS MY CPA PRACTICETO SAVE ON INCOMETAX. [AMENDMENT 7/9/21: ALSO FIXED INSURANCE BUSINESS USING ANNUITIES]. OWNER. THE PRESIDENT OF THE S-CORP AND I KEEP TRACK OF ALL EXPENSES AND INCOMETO FILE MY TAX RETURNS. DEVOTE 1 TO 20 %. ANNUAL INCOME 1TO 20%. FINANCIAL INTEREST $1000. ESTABLISHED 01/01/2020. JOHN KOLODY INVESTMENTS, P.C. DBA JOHN KOLODY JR CPA POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 20 START DATE: 12/01/2024 ADDRESS: 2 South Beaver Street, Suite 116, Flagstaff AZ 86001, United States DESCRIPTION: Tax preparation services both individuals and businesses tax returns.
CRS (Client Relationship Summary) - RIA
Click below to view John Kolody JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Kolody JR'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
December 17, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2 South Beaver Street Suite 116, Flagstaff, AZ 86001Office #2: 2 South Beaver Street Suite 116, Flagstaff, AZ 86001RIA
BD
CRD#: 7717
FLAGSTAFF, AZ
Current
December 17, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2 South Beaver Street Suite 116, Flagstaff, AZ 86001RIA
BD
CRD#: 7717
FLAGSTAFF, AZ
Past
September 21, 2020 - December 18, 2024
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
FLAGSTAFF, AZ
Past
September 21, 2020 - December 18, 2024
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
FLAGSTAFF, AZ
Past
February 20, 2020 - September 24, 2020
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
FLAGSTAFF, AZ
Past
December 8, 2016 - September 24, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
FLAGSTAFF, AZ
Past
December 1, 2003 - December 8, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
FLAGSTAFF, AZ
Past
November 19, 2001 - December 1, 2003
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
August 28, 1996 - December 3, 2001
BENJAMIN SECURITIES INVESTMENT COMPANY, INC.
BD
CRD#: 26294
MISSOURI CITY, TX
Past
January 15, 1988 - September 16, 1996
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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(12/17/2024)
IAR
Arizona(12/19/2024)
RR
Arkansas(12/17/2024)
RR
California(12/17/2024)
RR
Colorado(12/17/2024)
RR
Illinois(1/10/2025)
RR
Nevada(12/17/2024)
RR
New Mexico(12/17/2024)
RR
Texas(12/17/2024)
IAR
Texas(12/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Flagstaff, AZ 86001TRUST BUT VERIFY
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