CT
Cuong T. Thuyen
INDEPENDENT FINANCIAL GROUP
Pasadena, CA 91107
Some features on this profile are disabled
CRD#: 4252613
CT
Professional summary
Cuong Tu Thuyen, who also goes by Cuong Tu Thnyen, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Pasadena, California.
Cuong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Cuong has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cuong Tu Thnyen
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) WEST SAN GABRIEL VALLEY ASSOCIATION OF REALTORS POSITION: Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2011 ADDRESS: 1039 E. Valley Blvd, Ste 205B, San Gabriel CA 91776, United States DESCRIPTION: MEMBER OF THE WEST SAN GABRIEL VALLEY ASSOCIATION OF REALTORS, A NETWORKING ORGANIZATION FOR INVOLVEMENT IN THE LOCAL REALTOR COMMUNITY (2) ARCADIA ASSOCIATION OF REALTORS POSITION: Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/20/2016 ADDRESS: 601 S. First Avenue, Arcadia CA 91006, United States DESCRIPTION: MEMBER OF ARCADIA ASSOCIATION OF REALTORS A NETWORKING ASSOCIATION (3) KONG FINANCIAL SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/11/2011 ADDRESS: 2181 E. Foothill Blvd, Suite 204, Pasadena CA 91107, United States DESCRIPTION: (1)100% OWNER/CA INSURANCE AGENT DBA KONG FINANCIAL SERVICES OFFERING SALES OF HEALTH AND LIFE INSURANCE INCLUDING UNIVERSAL,TERM, AND FIXED ANNUITIES SINCE 2011. INVESTMENT RELATED. 100% OF TIME SPENT. BUSINESS CONDUCTED AT ADDRESS OF RECORD. (4) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2011 ADDRESS: 2181 E. Foothill Blvd, Suite 204, Pasadena CA 91107, United States DESCRIPTION: Life and Health Insurance License.
CRS (Client Relationship Summary) - RIA
Click below to view Cuong Tu Thuyen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cuong Tu Thuyen'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
March 23, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2181 E. Foothill Blvd Suite 204, Pasadena, CA 91107RIA
BD
CRD#: 7717
Pasadena, CA
Current
March 22, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2181 E. Foothill Blvd Suite 204, Pasadena, CA 91107RIA
BD
CRD#: 7717
Pasadena, CA
Past
September 28, 2010 - March 17, 2011
MAM GLOBAL FINANCIAL SERVICES, LLC
RIA
CRD#: 152932
ELK GROVE, CA
Past
August 19, 2010 - March 17, 2011
MAM SECURITIES, LLC
RIA
CRD#: 124620
SHERMAN OAKS, CA
Past
August 19, 2010 - March 17, 2011
MAM SECURITIES, LLC
BD
CRD#: 124620
SHERMAN OAKS, CA
Past
February 15, 2007 - October 15, 2010
CAPWEST SECURITIES, INC.
RIA
CRD#: 30002
SAN MARINO, CA
Past
February 14, 2007 - October 15, 2010
CAPWEST SECURITIES, INC.
BD
CRD#: 30002
SAN MARINO, CA
Past
April 28, 2006 - March 31, 2011
TWEED FINANCIAL SERVICES, INC.
RIA
CRD#: 135352
SAN MARINO, CA
Past
August 23, 2005 - February 12, 2007
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
SAN MARINO, CA
Past
August 23, 2005 - February 12, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
SAN MARINO, CA
Past
September 22, 2004 - April 28, 2005
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
May 17, 2004 - July 15, 2004
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
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(3/22/2011)
IAR
California(3/23/2011)
RR
Colorado(10/22/2015)
RR
Florida(9/10/2019)
RR
Indiana(2/28/2018)
RR
Kansas(10/15/2021)
Exams
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.
