CM
Chih-tao Ma
INDEPENDENT FINANCIAL GROUP
Diamond Bar, CA 91765
Some features on this profile are disabled
CRD#: 4151461
CM
Professional summary
Chih-tao Ma, who also goes by Jeffrey Ma, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Diamond Bar, California.
Chih-tao is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Chih-tao has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey Ma
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) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/13/2016 ADDRESS: 660 N. Diamond Bar Blvd #268, Diamond Bar CA 91765, United States DESCRIPTION: CA LICENSED INSURANCE AGENT OFFERING INSURANCE SALES AND SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Chih-tao Ma's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Chih-tao Ma'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
December 14, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 660 N. Diamond Bar Blvd #268, Diamond Bar, CA 91765RIA
BD
CRD#: 7717
Diamond Bar, CA
Current
December 13, 2016 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 660 N. Diamond Bar Blvd #268, Diamond Bar, CA 91765RIA
BD
CRD#: 7717
Diamond Bar, CA
Past
January 21, 2014 - December 14, 2016
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
TORRANCE, CA
Past
May 29, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
TORRANCE, CA
Past
May 29, 2012 - December 14, 2016
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
TORRANCE, CA
Past
July 7, 2011 - May 10, 2012
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
CITY OF INDUSTRY, CA
Past
July 7, 2011 - May 10, 2012
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
CITY OF INDUSTRY, CA
Past
July 10, 2006 - July 1, 2011
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
LOS ANGELES, CA
Past
December 12, 2003 - July 19, 2004
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
LOS ANGELES, CA
Past
December 12, 2003 - July 1, 2011
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
LOS ANGELES, CA
Past
May 12, 2003 - December 19, 2003
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
ROWLAND HEIGHTS, CA
Past
May 12, 2003 - December 19, 2003
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 5, 2001 - May 6, 2003
LPL FINANCIAL LLC
RIA
CRD#: 6413
LOS ANGELES, CA
Past
July 12, 2000 - May 6, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 5, 2000 - November 28, 2000
FORTUNE SECURITIES, INC.
BD
CRD#: 40821
ALHAMBRA, 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(12/13/2016)
IAR
California(12/14/2016)
RR
New Jersey(12/13/2016)
RR
New York(12/13/2016)
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.
