JT
Joyce A. Thomas
INDEPENDENT FINANCIAL GROUP
Diamond Bar, CA 91765
Some features on this profile are disabled
CRD#: 2713664
JT
Professional summary
Joyce An Thomas, AIF®, who also goes by Cho Ching An, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Diamond Bar, California.
Joyce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joyce has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cho Ching An
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) JTW FINANCIAL SERVICES, INC.
POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2005
ADDRESS: 142 N San Gabriel Blvd, #b, San Gabriel CA 91775, United States
DESCRIPTION: 100% OWNER OF DBA JTW FINANCIAL SERVICES,USED FOR MARKETING PURPOSES
(2) RENTAL PROPERTY
POSITION: Rental property owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014
ADDRESS: 3809 CLARKSON ST, RIVERSIDE CA 92501, United States
DESCRIPTION: 100% OWNER OF A RENTAL PROPERTY IN RIVERSIDE.
CRS (Client Relationship Summary) - RIA
Click below to view Joyce An Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joyce An Thomas'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®
Experience
Current
October 8, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 660 N. Diamond Bar Blvd #268, Diamond Bar, CA 91765Office #2: 142 N San Gabriel Blvd #b, San Gabriel, CA 91775RIA
BD
CRD#: 7717
Diamond Bar, CA
Current
October 8, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 660 N. Diamond Bar Blvd #268, Diamond Bar, CA 91765Office #2: 142 N San Gabriel Blvd #b, San Gabriel, CA 91775RIA
BD
CRD#: 7717
Diamond Bar, CA
Past
November 29, 2011 - October 19, 2015
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SAN GABRIEL, CA
Past
March 30, 2007 - October 19, 2015
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SAN GABRIEL, CA
Past
December 18, 2001 - March 30, 2007
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
SAN GABRIEL, CA
Past
August 21, 1996 - December 21, 2001
WMA SECURITIES, INC.
BD
CRD#: 32625
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
Arizona(10/8/2015)
RR
California(10/8/2015)
IAR
California(10/8/2015)
RR
Connecticut(10/8/2015)
RR
Delaware(8/15/2019)
RR
District of Columbia(3/18/2025)
RR
Florida(10/8/2015)
RR
Georgia(10/8/2015)
RR
Illinois(10/8/2015)
RR
Kentucky(10/8/2015)
RR
Louisiana(4/7/2016)
IAR
Louisiana(4/7/2016)
RR
Maryland(10/8/2015)
RR
Massachusetts(10/8/2015)
RR
Michigan(10/8/2015)
RR
Minnesota(5/21/2020)
RR
Missouri(11/16/2018)
RR
Nevada(10/8/2015)
RR
New Jersey(10/8/2015)
RR
New Mexico(10/8/2015)
RR
New York(10/8/2015)
RR
North Carolina(10/8/2015)
RR
Ohio(10/8/2015)
RR
Pennsylvania(10/8/2015)
RR
South Carolina(1/12/2016)
RR
Tennessee(1/6/2020)
RR
Texas(10/8/2015)
IAR
Texas(10/12/2015)
RR
Utah(6/1/2016)
RR
Vermont(7/27/2016)
RR
Virginia(10/8/2015)
RR
Washington(10/8/2015)
RR
Wisconsin(5/13/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
