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Christel M. Covert
INDEPENDENT FINANCIAL GROUP
TEMPE, AZ 85283
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CRD#: 1893048
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Professional summary
Christel Marie Covert, CFP®, who also goes by Chris Covert, Christel M Covert, Christel Marie Mclaren, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Tempe, Arizona.
Christel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Christel has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Estate Planning
Retirement Planning
Tax Planning
Investment Planning
Comprehensive Financial Planni...
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
Chris Covert | Christel M Covert | Christel Marie Mclaren
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Christel Marie Covert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christel Marie Covert'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: 1990
Experience
Current
July 7, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1968 E. E Baseline Road Suite F-104, Tempe, AZ 85283RIA
BD
CRD#: 7717
TEMPE, AZ
Current
August 19, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1968 E. E Baseline Road Suite F-104, Tempe, AZ 85283RIA
BD
CRD#: 7717
TEMPE, AZ
Past
October 31, 2005 - August 21, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
TEMPE, AZ
Past
January 24, 1989 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
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(8/19/2009)
IAR
Arizona(7/7/2011)
RR
California(8/19/2009)
RR
Colorado(8/19/2009)
RR
Indiana(8/19/2009)
RR
Minnesota(9/20/2018)
RR
Missouri(11/5/2013)
RR
New Jersey(12/15/2011)
RR
New Mexico(11/24/2015)
RR
North Carolina(6/13/2014)
RR
Ohio(6/29/2023)
RR
Oregon(6/12/2014)
RR
South Carolina(8/19/2009)
RR
Texas(4/30/2012)
IAR
Texas(10/12/2020)
RR
Virginia(8/19/2009)
Exams
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
624
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 | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
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.
