MM
Matthew J. Mundy
INDEPENDENT FINANCIAL GROUP
Chandler, AZ 85248
Some features on this profile are disabled
CRD#: 4704753
MM
Professional summary
Matthew John Mundy, who also goes by Matthew J Mundy, Matthew Mundy, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Chandler, Arizona.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Matthew has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew J Mundy | Matthew Mundy
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) PLANNING SOLUTIONS POSITION: Planning Solutions is just a DBA to create a separation between my financial planning and the preparation of a Living Trust. There are no employees. NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2021 ADDRESS: 3910 S Alma School Rd, Ste. 8, Chandler AZ 85248, United States DESCRIPTION: Working with local estate planning law firms, I will gather the needed data to produce and charge for a Living Trust. (2) MATTHEW MUNDY POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2024 ADDRESS: 3910 S Alma School Rd, Ste. 8, Chandler AZ 85248, United States DESCRIPTION: Selling fixed insurance products. (3) INDEPENDENT FINANCIAL EDUCATORS POSITION: Focus group moderator. NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/03/2024 ADDRESS: 3910 S Alma School Rd, Ste. 8, Chandler AZ 85248, United States DESCRIPTION: Conducting focus groups regarding how the public perceives existing and new insurance and/or investments programs.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew John Mundy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew John Mundy'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
May 5, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3910 S Alma School Rd Ste. 8, Chandler, AZ 85248RIA
BD
CRD#: 7717
Chandler, AZ
Current
May 1, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3910 S Alma School Rd Ste. 8, Chandler, AZ 85248RIA
BD
CRD#: 7717
Chandler, AZ
Past
March 8, 2016 - May 22, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHANDLER, AZ
Past
March 8, 2016 - May 22, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
CHANDLER, AZ
Past
March 27, 2015 - March 8, 2016
KALOS MANAGEMENT
RIA
CRD#: 133025
CHANDLER, AZ
Past
March 9, 2015 - March 8, 2016
KALOS CAPITAL, INC.
BD
CRD#: 44337
CHANDLER, AZ
Past
February 13, 2015 - March 3, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SCOTTSDALE, AZ
Past
May 21, 2013 - January 6, 2015
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SCOTTSDALE, AZ
Past
April 26, 2013 - January 6, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SCOTTSDALE, AZ
Past
February 3, 2011 - November 7, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
GILBERT, AZ
Past
February 2, 2011 - November 7, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
GILBERT, AZ
Past
June 20, 2006 - January 6, 2011
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
SCHAUMBURG, IL
Past
October 20, 2004 - January 6, 2011
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SCHAUMBURG, IL
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(5/1/2020)
IAR
Arizona(5/5/2020)
RR
California(9/27/2023)
RR
Florida(6/14/2024)
RR
Idaho(5/1/2020)
RR
Illinois(9/17/2020)
RR
Iowa(5/1/2020)
RR
Minnesota(5/1/2020)
RR
North Carolina(7/22/2025)
RR
Ohio(5/1/2020)
RR
Oklahoma(3/8/2022)
RR
Oregon(9/16/2021)
RR
Puerto Rico(2/9/2024)
RR
South Carolina(7/16/2024)
RR
South Dakota(5/1/2020)
RR
Utah(7/10/2024)
RR
Virginia(1/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
