RH
Rachel T. Hoang
INDEPENDENT FINANCIAL GROUP
Hermosa Beach, CA 90254
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CRD#: 2905665
RH
Professional summary
Rachel Thuthuy Hoang, who also goes by Rachel T Hoang, Rachel Thu Hoang, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Hermosa Beach, California.
Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Rachel has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rachel T Hoang | Rachel Thu Hoang
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) MATHEMATICS WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/30/2021 ADDRESS: 1500 Rosecrans Ave, #500, Manhattan Beach CA 90266, United States DESCRIPTION: 100% owner of DBA used for marketing purposes (2) NOTARY PUBLIC POSITION: Independent Contractor NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/30/2021 ADDRESS: 1500 Rosecrans Ave, #500, Manhattan Beach CA 90266, United States DESCRIPTION: Provide notary public service (3) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/26/2021 ADDRESS: 1500 Rosecrans Ave, #500, Manhattan Beach CA 90266, United States DESCRIPTION: Insurance agent offering various types of business. GINTOKI LLC POSITION: Owner. NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 0 START DATE: 11/22/2024 ADDRESS: 2200 Pacific Coast Hwy., Unit 306, Hermosa Beach CA 90254, United States DESCRIPTION: Bought office condo for own use so that I don't have to continue to pay increasing rent. Will eventually relocate branch office to this address once escrow closes.
CRS (Client Relationship Summary) - RIA
Click below to view Rachel Thuthuy Hoang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rachel Thuthuy Hoang'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
April 30, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2200 Pacific Coast Highway Suite 306, Hermosa Beach, CA 90254RIA
BD
CRD#: 7717
Hermosa Beach, CA
Current
April 30, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2200 Pacific Coast Highway Suite 306, Hermosa Beach, CA 90254RIA
BD
CRD#: 7717
Hermosa Beach, CA
Past
April 19, 2010 - May 3, 2021
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
Manhattan Beach, CA
Past
April 28, 2009 - May 3, 2021
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
Manhattan Beach, CA
Past
January 30, 2008 - May 7, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MANHATTEN BEACH, CA
Past
October 1, 1998 - December 14, 2007
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
MANHATTAN BEACH, CA
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
California(4/30/2021)
IAR
California(4/30/2021)
RR
Idaho(4/30/2021)
RR
New Mexico(3/4/2022)
RR
Texas(4/30/2021)
IAR
Texas(5/1/2021)
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.
