Kurt D. Rohrs
INDEPENDENT FINANCIAL GROUP
Sun Lakes, AZ
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CRD#: 4435254
Professional summary
Kurt Diedrich Rohrs, CFP®, ChFC®, CLU® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Sun Lakes, Arizona.
Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kurt has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2003 ADDRESS: 3800 South Alma School Road, Suite 123, Chandler AZ 85248, United States DESCRIPTION: AZ Insurance agent offering various types of insurance products. (2) SOUTHWESTERN RETIREMENT PLANNING ADVISORS, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2003 ADDRESS: 3800 S. Alma School Road, Suite 123, Chandler AZ 85248, United States DESCRIPTION: 100% OWNER/INVESTMENT ADVISOR REPRESENTATIVE DBA SOUTHWESTERN RETIREMENT PLANNING ADVISORS, INC. PROVIDING FINANCIAL PLANNING, SECURITIES, ADVISORY AND TRUST SERVICES (3) SOUTHWESTERN RETIREMENT PLANNING ADVISORS, INC. TRUST REFERRAL SERVICES POSITION: Officer/Director NATURE: Referral Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2003 ADDRESS: 3800 S. Alma School Road, Suite 123, Chandler AZ 85248, United States DESCRIPTION: Referral to attorneys to draft Trust documents. (4) CHANDLER UNIFIED SCHOOL DISTRICT POSITION: Governing Board Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/10/2024 ADDRESS: 1525 W. Frye Road, Chandler AZ 85224, United States DESCRIPTION: Attend Board Meetings Oversight of School District activities Approve District Policy Approve District Budget Approve District Contracts SOUTHWESTERN RETIREMENT PLANNING ADVISORS, INC. TRUST REFERRAL SERVICES POSITION: Officer/Director NATURE: Referral Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2003 ADDRESS: 24914 S. Lakewood Drive, Sun Lakes AZ 85248, United States DESCRIPTION: Collection of client information necessary for attorney to draft Trust documents. SOUTHWESTERN RETIREMENT PLANNING ADVISORS, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2003 ADDRESS: 24914 S. Lakewood Drive, Sun Lakes AZ 85248, United States DESCRIPTION: (3) 100% OWNER/INVESTMENT ADVISOR REPRESENTATIVE DBA SOUTHWESTERN RETIREMENT PLANNING ADVISORS, INC. PROVIDING FINANCIAL PLANNING, SECURITIES, ADVISORY AND TRUST SERVICES SINCE 2003. INVESTMENT RELATED. APPROXIMATELY 90% TIME SPENT. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. CHANDLER UNIFIED SCHOOL DISTRICT POSITION: Governing Board Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/10/2024 ADDRESS: 1525 W. Frye Road, Chandler AZ 85224, United States DESCRIPTION: Attend Board Meetings Oversight of School District activities Approve District Policy Approve District Budget Approve District Contracts
CRS (Client Relationship Summary) - RIA
Click below to view Kurt Diedrich Rohrs's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kurt Diedrich Rohrs'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®
CFP®
Start date: 2004
Experience
Current
February 14, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sun Lakes, AZ
Current
February 14, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Sun Lakes, AZ
Past
August 17, 2006 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
CHANDLER, AZ
Past
August 17, 2006 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
CHANDLER, AZ
Past
September 13, 2004 - August 23, 2006
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
CHANDLER, AZ
Past
September 13, 2004 - August 23, 2006
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
CHANDLER, AZ
Past
October 29, 2003 - September 14, 2004
SII INVESTMENTS, INC.
RIA
CRD#: 2225
CHANDLER, AZ
Past
October 17, 2003 - September 14, 2004
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
September 19, 2001 - October 28, 2003
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
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(2/14/2011)
IAR
Arizona(3/4/2011)
RR
Kentucky(4/13/2021)
RR
Nevada(2/14/2011)
RR
New Mexico(4/28/2015)
RR
Oregon(9/16/2021)
RR
Texas(2/14/2011)
IAR
Texas(2/14/2011)
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.
