DM
Daniel H. Mann
INDEPENDENT FINANCIAL GROUP
Henderson, NV 89012
Some features on this profile are disabled
CRD#: 4592568
DM
Professional summary
Daniel Heaton Mann, who also goes by Dan Mann, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Henderson, Nevada.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Mann
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: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2016 ADDRESS: 1368 Paseo Verde Pkwy, Ste. 100, Henderson NV 89012, United States DESCRIPTION: Insurance Agent (2) CORNERSTONE 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: 06/01/2017 ADDRESS: 1368 Paseo Verde Pkwy, Ste. 100, Henderson NV 89012, United States DESCRIPTION: DBA used for marketing purposes (3) CORNERSTONE BUILDING I LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2012 ADDRESS: 1368 Paseo Verde Pkwy, Ste. 100, Henderson NV 89012, United States DESCRIPTION: Owner of office building (4) CORNERSTONE TAX ADVISORY POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2021 ADDRESS: 1368 Paseo Verde Pkwy, Ste. 100, Henderson NV 89012, United States DESCRIPTION: Owner of tax prep company (5) SOMMERSET GROUP INC. POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/26/2005 ADDRESS: 2540 Dornoch Lane, Henderson NV 89044, United States DESCRIPTION: Business Entity for Tax/Investment Purpose
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Heaton Mann's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Heaton Mann'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
August 11, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1368 Paseo Verde Pkwy Ste. 100, Henderson, NV 89012Office #2: 3755 Breakthrough Way #305, Las Vegas, NV 89135RIA
BD
CRD#: 7717
Henderson, NV
Current
August 2, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1368 Paseo Verde Pkwy Ste. 100, Henderson, NV 89012Office #2: 3755 Breakthrough Way #305, Las Vegas, NV 89135RIA
BD
CRD#: 7717
Henderson, NV
Past
March 31, 2016 - August 2, 2021
KALOS CAPITAL, INC.
BD
CRD#: 44337
Henderson, NV
Past
September 22, 2015 - August 2, 2021
KALOS MANAGEMENT
RIA
CRD#: 133025
Hendrson, NV
Past
April 21, 2014 - September 28, 2015
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
HENDERSON, NV
Past
February 26, 2013 - April 14, 2014
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
HENDERON, NV
Past
July 2, 2012 - January 30, 2013
CORNERSTONE ADVISORY GROUP, INC.
RIA
CRD#: 163984
HENDERSON, NV
Past
September 8, 2006 - August 15, 2007
DANIEL H. MANN
RIA
CRD#: 141744
HENDERSON, NV
Past
October 8, 2002 - April 16, 2003
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CARPINTERIA, 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
Alaska(2/27/2023)
RR
Arizona(8/2/2021)
RR
California(2/24/2022)
RR
Colorado(9/9/2021)
RR
Florida(1/27/2022)
RR
Idaho(5/21/2024)
RR
Illinois(8/18/2023)
RR
Nevada(8/2/2021)
IAR
Nevada(8/11/2021)
RR
New Jersey(9/27/2023)
RR
New Mexico(10/27/2021)
RR
Oregon(8/4/2021)
RR
South Carolina(8/2/2021)
RR
South Dakota(10/27/2021)
RR
Tennessee(10/27/2021)
RR
Texas(10/15/2024)
IAR
Texas(10/15/2024)
RR
Utah(8/2/2021)
RR
Washington(9/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
