KB
Kirk Badii
INDEPENDENT FINANCIAL GROUP
Southlake, TX 76092
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CRD#: 5829768
KB
Professional summary
Kirk Badii is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Southlake, Texas.
Kirk is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kirk has worked at 6 firms and has passed the 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) BADII GROUP PRIVATE 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: 08/01/2018 ADDRESS: 550 Reserve Street #250, Southlake TX 76092, United States DESCRIPTION: DBA used for marketing securities and advisory services. (2) BADII GROUP, LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/01/2018 ADDRESS: 550 Reserve Street #250, Southlake TX 76092, United States DESCRIPTION: DBA used for marketing securities and advisory services. MAVERICK RANCH HOLDINGS LLC POSITION: LLC used to purchase a property NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/06/2024 ADDRESS: 2318 Cedar Elm Terrace, Westlake TX 76262, United States DESCRIPTION: I am submitting this for preapproval. I intend to establish an LLC named Maverick Ranch Holdings, which will be dedicated exclusively to purchasing a property within the Maverick Golf & Ranch Club. My objectives with this acquisition are to either sell the property in the future or develop it at a later stage. Ownership of Maverick Ranch Holdings, LLC, will be shared between my personal IRA and myself personally.
CRS (Client Relationship Summary) - RIA
Click below to view Kirk Badii's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kirk Badii'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
January 23, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 550 Reserve Street #250, Southlake, TX 76092RIA
BD
CRD#: 7717
Southlake, TX
Current
January 23, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 550 Reserve Street #250, Southlake, TX 76092RIA
BD
CRD#: 7717
Southlake, TX
Past
September 5, 2018 - February 14, 2020
CANTELLA & CO., INC.
RIA
CRD#: 13905
Los Angeles, CA
Past
September 4, 2018 - February 14, 2020
CANTELLA & CO., INC.
BD
CRD#: 13905
Los Angeles, CA
Past
August 20, 2018 - September 4, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
TORRANCE, CA
Past
August 20, 2018 - September 4, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
TORRANCE, CA
Past
May 30, 2012 - August 22, 2018
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LOS ANGELES, CA
Past
May 30, 2012 - August 22, 2018
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
LOS ANGELES, CA
Past
September 6, 2011 - July 11, 2012
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
LOS ANGELES, CA
Past
August 23, 2011 - July 11, 2012
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
LOS ANGELES, 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
Arizona(2/21/2020)
RR
California(1/23/2020)
IAR
California(1/24/2020)
RR
Colorado(2/26/2020)
RR
Connecticut(1/23/2020)
RR
Florida(1/23/2020)
RR
Georgia(1/24/2020)
RR
Indiana(1/12/2021)
RR
Michigan(1/23/2020)
RR
Minnesota(3/4/2020)
RR
Nevada(2/18/2020)
RR
New Jersey(1/23/2020)
RR
New York(1/23/2020)
RR
North Carolina(2/27/2020)
RR
Ohio(1/23/2020)
RR
Pennsylvania(1/24/2020)
RR
Rhode Island(1/23/2020)
IAR
Texas(1/23/2020)
RR
Texas(3/6/2020)
RR
Utah(1/23/2020)
RR
Wisconsin(1/29/2020)
Exams
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.
