TD
Thomas L. Dahl
INDEPENDENT FINANCIAL GROUP
Mcfarland, WI
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CRD#: 1959610
TD
Professional summary
Thomas Leslie Dahl is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Mcfarland, Wisconsin.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 05/01/2021 ADDRESS: 5009 Valley Dr., Mcfarland WI 53558, United States DESCRIPTION: Insurance Agent (2) FARMHOUSE RENTAL POSITION: Agent/Representative NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2021 ADDRESS: 7614 Inama Rd, Sauk City WI 53583, United States DESCRIPTION: Owner of rental property (3) OPTIMIST CLUB MEMBER POSITION: Volunteer NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 5 START DATE: 05/01/2021 ADDRESS: 5009 Valley Dr., Mcfarland WI 53558, United States DESCRIPTION: Attend meetings and help wit projects and fundraisers (4) RENTAL PROPERTY POSITION: land owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2021 ADDRESS: 7614 Inama Rd, Sauk City WI 53583, United States DESCRIPTION: Land rental property (5) DRONE PHOTOGRAPHY POSITION: owner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2021 ADDRESS: 5009 Valley Dr., Mcfarland WI 53558, United States DESCRIPTION: Drone photograph and video (6) CULVERS RESTAURANT OF YULEE FL POSITION: owner NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2021 ADDRESS: 5009 Valley Dr., Mcfarland WI 53558, United States DESCRIPTION: Owner of restaurant (7) DAHL FINANCIAL SERVICES, LLC POSITION: owner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 05/01/2021 ADDRESS: 5009 Valley Dr., Mcfarland WI 53558, United States DESCRIPTION: 100% owner of DBA used for marketing purposes (8) RENTAL PROPERTY POSITION: Owner of real estate NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/12/2022 ADDRESS: 5009 Valley Dr., McFarland, WI 53558, United States DESCRIPTION: RENTAL PROPERTY. (9) GOLF DRIVING RANGE FAMILY ENTERTAINMENT CENTER POSITION: investor NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/08/2022 ADDRESS: McFarland, WI 53558, United States DESCRIPTION: Golf driving range. (10) TURTLE ISLAND POSITION: Owner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 1 START DATE: 03/22/2023 ADDRESS: 831 East Johnson St, madison WI 53703, United States DESCRIPTION: help with marketing strategies for store and online sales
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Leslie Dahl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Leslie Dahl'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
May 7, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Mcfarland, WI
Current
May 7, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Mcfarland, WI
Past
August 17, 2009 - May 17, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
BELLEVILLE, WI
Past
August 17, 2009 - May 17, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
McFarland, WI
Past
August 30, 2005 - August 18, 2009
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
MIDDLETON, WI
Past
May 3, 2005 - August 18, 2009
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
MIDDLETON, WI
Past
June 8, 1995 - May 6, 2005
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
MILWAUKEE, WI
Past
September 17, 1993 - May 1, 1995
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
June 20, 1989 - September 10, 1993
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(11/16/2021)
RR
Florida(5/7/2021)
RR
Illinois(5/7/2021)
RR
Kansas(5/7/2021)
RR
Maine(4/22/2025)
RR
Michigan(5/7/2021)
RR
Minnesota(5/7/2021)
RR
Washington(9/16/2025)
RR
Wisconsin(5/7/2021)
IAR
Wisconsin(5/7/2021)
Exams
State Security Law Exam
State Security Law 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.
