Kurt R. Hanson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kurt Roger Hanson, who also goes by Kurt Hanson, was a registered financial professional .
Kurt is a previously registered financial professional and started their career in finance in 2004. Kurt had worked at 5 firms and has passed the Series 66, Series 7TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2021 - January 31, 2022
INDEPENDENT FINANCIAL GROUP, LLC
August 2, 2021 - January 31, 2022
INDEPENDENT FINANCIAL GROUP, LLC
January 31, 2019 - August 3, 2021
KALOS MANAGEMENT
January 23, 2019 - August 3, 2021
KALOS CAPITAL, INC.
August 25, 2014 - December 31, 2016
MML INVESTORS SERVICES, LLC
July 30, 2013 - June 15, 2017
MML INVESTORS SERVICES, LLC
July 2, 2008 - December 23, 2011
NEW ENGLAND SECURITIES
June 27, 2008 - December 23, 2011
NEW ENGLAND SECURITIES
May 20, 2005 - July 3, 2008
MML INVESTORS SERVICES, LLC
August 16, 2004 - July 3, 2008
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 5/22/2024
General Securities Representative ExaminationSeries 52TO
Date: 5/22/2024
Municipal Securities Representative ExaminationCurrent Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
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.
