DR
Daniel Ruben
INDEPENDENT FINANCIAL GROUP
Westlake Village, CA 91362
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CRD#: 5716704
DR
Professional summary
Daniel Ruben is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Westlake Village, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Daniel has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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) CONSULTANT POSITION: sole proprietor NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/11/2012 ADDRESS: 5716 Corsa Avenue, Suite 100, Westlake Village CA 91362, United States DESCRIPTION: BUSINESS CONSULTANT UTILIZING MBA FOR CONSULTING SERVICES TO BUSINESSES (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/16/2012 ADDRESS: 5716 Corsa Avenue, Suite 100, Westlake Village CA 91362, United States DESCRIPTION: Health & Life Insurance (3) DANIEL RUBEN, MD POSITION: Sole Proprietor NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/11/2012 ADDRESS: 5716 Corsa Avenue, Suite 100, Westlake Village CA 91362, United States DESCRIPTION: DANIEL RUBEN, MD OFFERING MEDICAL SERVICES AS AN INDEPENDENT CONTRACTOR (4) LIFE STRATEGIES ADVISERS POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/16/2012 ADDRESS: 5716 Corsa Avenue, Suite 100, Westlake Village CA 91362, United States DESCRIPTION: DBA USED FOR MARKETING PURPOSES (5) JFK REALTY & LOAN DEPOT POSITION: Independent Contractor NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/09/2017 ADDRESS: 5716 Corsa Avenue, Suite 100, Westlake Village CA 91362, United States DESCRIPTION: Advise, broker the purchase or sale of Real Estate. ORNA ERED POSITION: Independent Contractor NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/16/2025 ADDRESS: 3625 E Thousand Oaks Blvd, Suite 112, Westlake Village CA 91362, United States DESCRIPTION: Advise, broker the purchase or sale of Real Estate.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Ruben's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Ruben'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
November 16, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3625 E Thousand Oaks Blvd Suite 112, Westlake Village, CA 91362RIA
BD
CRD#: 7717
Westlake Village, CA
Current
November 16, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 3625 E Thousand Oaks Blvd Suite 112, Westlake Village, CA 91362RIA
BD
CRD#: 7717
Westlake Village, CA
Past
January 6, 2012 - November 16, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
AGOURA HILLS, CA
Past
January 6, 2012 - November 16, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
AGOURA HILLS, CA
Past
December 4, 2009 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
AGOURA HILLS, CA
Past
October 21, 2009 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
AGOURA HILLS, 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
California(11/16/2012)
IAR
California(11/16/2012)
RR
Florida(3/4/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
