DM
Deepen A. Modi
INDEPENDENT FINANCIAL GROUP
Glenview, IL 60026
Some features on this profile are disabled
CRD#: 2573250
DM
Professional summary
Deepen Arvind Modi is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Glenview, Illinois.
Deepen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Deepen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 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) DKRS OF NORTHBROOK POSITION: President/CEO NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/06/2005 ADDRESS: 2455 Vicki Ln, suite 100, Northbrook IL 60062, United States DESCRIPTION: 100% OWNER OF DKRS OF NORTHBROOK A COPORATION FOR OFFICE/BUSINESS EXPENSES (2) INSURANCE POSITION: Agent/Representative NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/20/2016 ADDRESS: 2455 Vicki Ln, Ste 100, Northbrook IL 60062, United States DESCRIPTION: IL INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (3) MODI FINANCIAL GROUP POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/25/2021 ADDRESS: 2455 Vicki Ln, Northbrook IL 60062, United States DESCRIPTION: DBA used for marketing purposes AAEIO POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/22/2024 ADDRESS: 2700 Patriot Blvd, Suite 250, Glenview IL 60026, United States DESCRIPTION: Setting up engineering activities including annual gala
CRS (Client Relationship Summary) - RIA
Click below to view Deepen Arvind Modi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Deepen Arvind Modi'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 23, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2700 Patriot Blvd Suite 250, Glenview, IL 60026RIA
BD
CRD#: 7717
Glenview, IL
Current
February 20, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2700 Patriot Blvd Suite 250, Glenview, IL 60026RIA
BD
CRD#: 7717
Glenview, IL
Past
March 6, 2006 - February 23, 2015
FIRST MIDWEST SECURITIES, INC.
RIA
CRD#: 21786
NORTHBROOK, IL
Past
March 3, 2006 - February 23, 2015
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
NORTHBROOK, IL
Past
February 28, 2006 - March 2, 2006
SECURITRADE CORPORATION
BD
CRD#: 35520
IRVING, TX
Past
April 21, 2005 - February 27, 2006
SALOMON GREY FINANCIAL CORPORATION
BD
CRD#: 43413
NORTHBROOK, IL
Past
October 12, 2001 - April 1, 2005
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
CHICAGO, IL
Past
October 1, 2001 - April 1, 2005
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 26, 1995 - September 21, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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 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(11/5/2024)
RR
Arizona(4/5/2017)
RR
California(2/27/2015)
RR
Florida(3/2/2015)
RR
Georgia(8/23/2023)
RR
Illinois(2/20/2015)
IAR
Illinois(2/23/2015)
RR
Indiana(3/3/2015)
RR
Louisiana(4/6/2017)
RR
Maryland(1/4/2024)
RR
Massachusetts(11/29/2023)
RR
Michigan(2/25/2015)
RR
Minnesota(6/21/2024)
RR
New Jersey(2/24/2015)
RR
New York(2/20/2015)
RR
North Carolina(4/11/2018)
RR
Oklahoma(1/23/2024)
RR
Pennsylvania(2/20/2015)
RR
Texas(2/20/2015)
IAR
Texas(7/8/2020)
RR
Virginia(6/26/2024)
RR
Washington(4/13/2017)
RR
Wisconsin(2/20/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
