MK
Michael D. Kolacz
INDEPENDENT FINANCIAL GROUP
Rockwall, TX 75087
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CRD#: 2566829
MK
Professional summary
Michael David Kolacz, who also goes by Mike Kolacz, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Rockwall, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Kolacz
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) EPSTEIN & KOLACZ WEALTH MANAGEMENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 12/01/1982 ADDRESS: 2600 Ridge Road, Rockwall TX 75087, United States DESCRIPTION: Sales of Health, Life, and P&C Insurance (2) EKWM POSITION: Independent Contractor NATURE: Attorney, Legal Services INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/20/2024 ADDRESS: 2600 Ridge Road, Rockwall TX 75087, United States DESCRIPTION: Assist clients with completing Estate Planning documents for a fee. COLLEGE FUNDING SOLUTIONS INC POSITION: Independent Contractor NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2024 ADDRESS: 2600 Ridge Road, Rockwall TX 75087, United States DESCRIPTION: SALES OF THEIR NEGOIATION OF COLLEGE TUITION FOR CLIENTS CHILDREN
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Kolacz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael David Kolacz'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
June 7, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2600 Ridge Road, Rockwall, TX 75087RIA
BD
CRD#: 7717
Rockwall, TX
Current
June 8, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2600 Ridge Road, Rockwall, TX 75087RIA
BD
CRD#: 7717
Rockwall, TX
Past
August 3, 2016 - June 30, 2023
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
ROCKWALL, TX
Past
May 26, 2016 - June 1, 2016
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
ROCKWALL, TX
Past
May 26, 2016 - June 30, 2023
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ROCKWALL, TX
Past
November 18, 2013 - May 10, 2016
CETERA ADVISORS LLC
RIA
CRD#: 10299
ROCKWALL, TX
Past
November 8, 2013 - May 10, 2016
CETERA ADVISORS LLC
BD
CRD#: 10299
ROCKWALL, TX
Past
May 25, 2012 - September 18, 2012
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
ROCKWALL, TX
Past
May 25, 2012 - September 18, 2012
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
ROCKWALL, TX
Past
January 7, 2003 - November 19, 2013
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
PLANO, TX
Past
May 17, 1996 - November 19, 2013
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
PLANO, 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
Alabama(7/7/2023)
RR
Alaska(6/8/2023)
RR
California(6/8/2023)
RR
Colorado(7/21/2023)
RR
Florida(6/9/2023)
RR
Indiana(6/8/2023)
RR
Louisiana(7/5/2023)
RR
Minnesota(6/30/2023)
RR
Mississippi(11/6/2024)
RR
New Mexico(6/8/2023)
RR
New York(6/8/2023)
RR
North Carolina(12/12/2024)
RR
North Dakota(11/4/2024)
RR
Ohio(6/8/2023)
RR
Oklahoma(7/25/2023)
RR
South Carolina(10/10/2024)
IAR
Texas(6/7/2023)
RR
Texas(6/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Rockwall, TX 75087TRUST BUT VERIFY
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