Wai Kee Chan

INDEPENDENT FINANCIAL GROUP

Honolulu, HI

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CRD#: 3089150

Professional summary

Wai Kee Chan, CFP®, who also goes by Wai K Chan, Wai Kee Chan, Waikee Chan, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Honolulu, Hawaii.

Wai Kee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Wai Kee has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wai K Chan | Wai Kee Chan | Waikee Chan

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wai Kee Chan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Wai Kee Chan's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

October 29, 2025 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Honolulu, HI

Current

October 29, 2025 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Honolulu, HI

Past

July 30, 2013 - September 30, 2025

MORGAN STANLEY

RIA

CRD#: 149777

Honolulu, HI

Past

May 31, 2013 - June 3, 2013

MORGAN STANLEY

RIA

CRD#: 149777

Honolulu, HI

Past

May 31, 2013 - September 30, 2025

MORGAN STANLEY

CRD#: 149777

Honolulu, HI

Past

January 23, 2006 - June 10, 2013

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HONOLULU, HI

Past

January 23, 2006 - June 10, 2013

CHARLES SCHWAB & CO., INC.

CRD#: 5393

HONOLULU, HI

Past

March 22, 2004 - October 4, 2005

HOEFER & ARNETT CAPITAL MANAGEMENT, INC.

RIA

CRD#: 110561

SAN FRANCISCO, CA

Past

March 22, 2004 - October 4, 2005

HOEFER & ARNETT, INCORPORATED

CRD#: 10883

SAN FRANCISCO, CA

Past

October 21, 2003 - March 25, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 23, 2002 - April 12, 2004

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA

CRD#: 104518

SAN FRANCISCO, CA

Past

September 23, 2002 - October 21, 2003

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

October 14, 1998 - March 20, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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.

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

Arizona
(10/29/2025)

California
(10/29/2025)

Idaho
(11/3/2025)

Missouri
(11/12/2025)

New Mexico
(10/29/2025)

New York
(10/29/2025)

Pennsylvania
(10/29/2025)

South Carolina
(10/29/2025)

IAR

Texas
(10/29/2025)

Washington
(10/29/2025)

Wyoming
(10/29/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/23/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/24/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

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.

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Firm Stability Insights

Wai Kee Chan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wai Kee Chan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Wai Kee Chan's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

HOEFER & ARNETT CAPITAL MANAGEMENT, INC.

HOEFER & ARNETT, INCORPORATED

DEUTSCHE BANK SECURITIES INC.

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

DEAM INVESTOR SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/2004

Series 63

Date: 2/24/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/5/1998

FINRA

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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