MB
Michael D. Boswak
INDEPENDENT FINANCIAL GROUP
CHICHESTER, NH 03258
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CRD#: 1966109
MB
Professional summary
Michael Dominick Boswak JR is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Chichester, New Hampshire.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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. FRONTIER FINANCIAL GROUP DBA FOR INSURANCE ONLY, NOT FOR INVESTMENTS. AGENT, OWNER. SELL LIFE, TERM FIXED INSURANCE. DEVOTE 1 TO 20%. ANNUAL INCOME 1 TO 20%. ESTABLISHED 03/21/1999. 2. FRONTIER FINANCIAL GROUP DBA, TAX PREPARATION ONLY.NOT FOR INVESTMENTS. OWNER. DEVOTE 1 TO 20%. ANNUAL INCOME 1 TO 20%. FRONTIER FINANCIAL GROUP POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 02/01/2025 ADDRESS: 160 Dover Road, Unit 10, Chichester NH 03258, United States DESCRIPTION: Fixed insurance sales & tax preperations
CRS (Client Relationship Summary) - RIA
Click below to view Michael Dominick Boswak JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Dominick Boswak 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
February 3, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 160 Dover Road Unit 10, Chichester, NH 03258RIA
BD
CRD#: 7717
CHICHESTER, NH
Current
February 3, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 160 Dover Road Unit 10, Chichester, NH 03258RIA
BD
CRD#: 7717
CHICHESTER, NH
Past
August 16, 2018 - February 3, 2025
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
CHICHESTER, NH
Past
August 16, 2018 - February 3, 2025
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
CHICHESTER, NH
Past
May 13, 2016 - August 20, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
CHICHESTER, NH
Past
May 13, 2016 - August 20, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
CHICHESTER, NH
Past
July 11, 1997 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CHICHESTER, NH
Past
July 1, 1997 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CHICHESTER, NH
Past
March 21, 1994 - July 11, 1997
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
September 6, 1989 - March 23, 1994
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Alabama(2/3/2025)
RR
Arizona(2/3/2025)
RR
California(2/3/2025)
RR
Colorado(2/3/2025)
RR
Connecticut(2/3/2025)
RR
Florida(2/3/2025)
RR
Georgia(2/3/2025)
RR
Indiana(10/27/2025)
RR
Maine(2/3/2025)
RR
Maryland(2/3/2025)
RR
Massachusetts(2/3/2025)
RR
Michigan(2/3/2025)
RR
Minnesota(2/3/2025)
RR
Mississippi(2/3/2025)
RR
New Hampshire(2/3/2025)
IAR
New Hampshire(2/3/2025)
RR
New Jersey(2/3/2025)
RR
New York(2/3/2025)
RR
North Carolina(2/10/2025)
RR
Ohio(2/3/2025)
RR
Oklahoma(2/3/2025)
RR
Oregon(2/7/2025)
RR
Pennsylvania(2/3/2025)
RR
South Carolina(2/3/2025)
RR
Tennessee(2/3/2025)
RR
Texas(2/3/2025)
IAR
Texas(2/3/2025)
RR
Vermont(2/3/2025)
RR
Virginia(2/3/2025)
RR
Washington(2/3/2025)
RR
Wisconsin(2/3/2025)
RR
Wyoming(2/3/2025)
Exams
State Security Law Exam
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
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#: 7717Chichester, NH 03258TRUST BUT VERIFY
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