Jeffrey L. Zupancic

INDEPENDENT WEALTH NETWORK

Phoenix, AZ 85014

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CRD#: 2465727

Professional summary

Jeffrey Lawrence Zupancic, who also goes by Jeffrey L Zupancic, Jeff Zupanic, is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Phoenix, Arizona.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Jeffrey has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey L Zupancic | Jeff Zupanic

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. PREFERRED FINANCIAL GROUP, LLC, NOT INVESTMENT RELATED; PHOENIX, AZ; CEO/FOUNDER/OWNER - MARKETING FIRM FOR SECURITIES PRODUCTS(NO REGISTRATION); SINCE 06/2004 APPROX. 160 HOURS PER MONTH / ALL DURING TRADING HOURS. 2. PREFERRED GROUP LLC; NOT INVESTMENT RELATED; PHOENIX, AZ ; CEO/FOUNDER/OWNER; MANAGING PARTNER - RUN THE INSURANCE FIRM; 160 HOURS PER MONTH SPENT ON THIS ACTIVITY/ALL DURING TRADING HOURS. 3. ZUPANCIC FINANCIAL GROUP, INC. NOT INVESTMENT RELATED; PHOENIX, AZ; HOLDING COMPANY OF PFG LLC & PG, LLC - CEO/PRESIDENT; DATE STARTED 6/4/2003; 10 HOURS PER MONTH/0 DURING TRADING. 4. PREFERRED WEALTH MANAGEMENT, LLC; INVESTMENT RELATED; PHOENIX, AZ; CEO/FOUNDER/OWNER - RUN THE INVESTMENT ADVISORY FIRM; FINANCIAL PLANNING; LLC; 160 HOURS PER MONTH/ALL DURING TRADING. 5. RENTAL PROPERTY; NOT INVESTMENT RELATED; 3301 E ANDORRA DRIVE, PHOENIX, AZ 85032; RENTAL PROPERTY; OWNER; 20 HOURS PER MONTH/00 DURING TRADING; OWNER OF RENTAL PROPERTY 6. SWEETWATER COVE HOA C/O PMG SERVICES; NOT INVESTMENT RELATED; MESA, AZ; HOA BOARD MEMBER; BOARD MEMBER; 2 HOURS PER MONTH/0 DURING TRADING HOURS; IMPLEMENT POLICIES TO IMPROVE OUR COMMUNITY 7. IWN; INVESTMENT RELATED; 1202 MARYLAND AVE SUITE 1J; AZ 85014; MANAGING RIA; STARTED 8/1/2017; 160 HOURS PER MONTH, 160 DURING TRADING; DAY TO DAY, CEO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Lawrence Zupancic's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 15, 2017 - Present

INDEPENDENT WEALTH NETWORK, INC.

Office #1: 1202 E Maryland Ave Suite 1j, Phoenix, AZ 85014

RIA

CRD#: 286262

Phoenix, AZ

Past

March 12, 2021 - December 31, 2023

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

Phoenix, AZ

Past

August 24, 2017 - February 20, 2020

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

Phoenix, AZ

Past

November 15, 2013 - September 29, 2017

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

PHOENIX, AZ

Past

October 31, 2013 - September 29, 2017

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

PHOENIX, AZ

Past

August 31, 2005 - November 5, 2013

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

PHOENIX, AZ

Past

May 28, 2004 - November 5, 2013

CENTAURUS FINANCIAL, INC.

CRD#: 30833

PHOENIX, AZ

Past

September 23, 2003 - June 2, 2004

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

September 17, 1999 - July 11, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 17, 1999 - July 11, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

June 1, 1994 - September 1, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

June 1, 1994 - September 1, 1999

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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 WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(9/15/2017)

IAR

Arkansas
(4/25/2024)

IAR

California
(2/20/2018)

IAR

Colorado
(2/20/2018)

IAR

Florida
(3/21/2018)

IAR

Illinois
(2/20/2018)

IAR

Iowa
(9/15/2017)

IAR

Kansas
(1/15/2019)

IAR

Michigan
(2/21/2018)

IAR

Minnesota
(3/18/2024)

IAR

Missouri
(3/19/2024)

IAR

Nebraska
(2/20/2018)

IAR

New Jersey
(11/8/2024)

IAR

New Mexico
(1/3/2022)

IAR

North Carolina
(2/22/2018)

IAR

Oregon
(1/9/2019)

IAR

Pennsylvania
(1/7/2021)

IAR

Texas
(2/19/2018)

IAR

Utah
(1/26/2024)

IAR

Virginia
(1/26/2024)

IAR

Washington
(1/14/2020)

IAR

Wisconsin
(2/22/2018)

IAR

Wyoming
(1/29/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/12/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/24/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/31/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/16/2004

Investment Company Products/Variable Contracts Principal Examination

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

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Contact information

Main Address

2350 Nw 128th St, Urbandale, IA 50323

Mailing Address

Phone number

(515) 461-5123

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

250106 ADV 2A (1/6/2025)

Regulatory assets under management

Total Number of Accounts	2,626
AUM (Assets Under Management)	$ 422,577,169

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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey L. Zupancic

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Lawrence Zupancic's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

FINANCIAL WEST GROUP

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

INDEPENDENT WEALTH NETWORK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/2005

Series 63

Date: 3/24/1994

SIE

Date: 10/1/2018

Series 6

Date: 5/31/1994

Series 26

Date: 3/16/2004

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT WEALTH NETWORK, INC.

TRUST BUT VERIFY

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