DL
Daniel T. Loy
INDEPENDENT FINANCIAL GROUP
Milpitas, CA 95035
Some features on this profile are disabled
CRD#: 3029654
DL
Professional summary
Daniel Tuan Kien Loy, who also goes by Tuan Kien Loy, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Milpitas, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Daniel has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tuan Kien Loy
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) RENTAL PROPERTY POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 2709 Crystal Falls Road, Lexington KY 40509, United States DESCRIPTION: 100% OWNER OF A SINGLE FAMILY RESIDENTIAL RENTAL PROPERTY (2) DANIEL LOY, LTK INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2015 ADDRESS: 360 Fairview Way, Milpitas CA 95035, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS INSURANCE PRODUCTS (3) LTK 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: 01/01/2015 ADDRESS: 360 Fairview Way, Milpitas CA 95035, United States DESCRIPTION: 100% OWNER OF DBA LTK WEALTH MANAGEMENT USED FOR MARKETING PURPOSES. (4) VENTURE COMMERCE CENTER- MILPITAS CONDO ASSOCIATION POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2015 ADDRESS: 360 Fairview Way, Milpitas CA 95035, United States DESCRIPTION: BOARD MEMBER OF VENTURE COMMERCE CENTER- MILPITAS CONDO ASSOCIATION, ACTING AS SECRETARY
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Tuan Kien Loy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Tuan Kien Loy'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
September 29, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 360 Fairview Way, Milpitas, CA 95035RIA
BD
CRD#: 7717
Milpitas, CA
Current
September 29, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 360 Fairview Way, Milpitas, CA 95035RIA
BD
CRD#: 7717
Milpitas, CA
Past
September 25, 2007 - October 2, 2015
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MILPITAS, CA
Past
September 7, 2007 - October 2, 2015
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MILPITAS, CA
Past
September 15, 2004 - September 18, 2007
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
FOSTER CITY, CA
Past
September 1, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
FOSTER CITY, CA
Past
September 1, 2004 - September 18, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
FOSTER CITY, CA
Past
January 6, 2004 - August 5, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
August 29, 2002 - January 5, 2004
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
NEWARK, CA
Past
April 16, 1998 - January 5, 2004
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, 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
Arizona(12/23/2021)
RR
California(9/29/2015)
IAR
California(9/29/2015)
RR
Illinois(9/29/2015)
IAR
Texas(1/14/2016)
RR
Texas(1/20/2016)
RR
Utah(2/26/2016)
Exams
State Security Law Exam
State Security Law 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.
