HZ
Hui Zhang
INDEPENDENT FINANCIAL GROUP
Diamond Bar, CA 91765
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CRD#: 5918387
HZ
Professional summary
Hui Zhang, who also goes by Celia Zhang, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Diamond Bar, California.
Hui is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Hui has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Celia Zhang
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) SUNRISE INVESTMENT CAPITAL POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/01/2020 ADDRESS: 9182 Arcadia Ave, San Gabriel CA 91775, United States DESCRIPTION: 100% owner of DBA used for marketing purposes (2) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2020 ADDRESS: 9182 Arcadia Ave, San Gabriel CA 91775, United States DESCRIPTION: Coaching/mentoring sales position with Crump Insurance Company to assist with sales (3) SUNRISE LENDING INC POSITION: Officer/Director NATURE: Mortgage Lending Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 3 START DATE: 08/28/2021 ADDRESS: 701 S San Gabriel Bl, Ste D, San Gabriel CA 91775, United States DESCRIPTION: Acting as a liaison by communicating with the clients and bank underwriter for the required information in order to get the loan approved.
CRS (Client Relationship Summary) - RIA
Click below to view Hui Zhang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hui Zhang'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
September 1, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 660 N. Diamond Bar Blvd #268, Diamond Bar, CA 91765Office #2: 142 N San Gabriel Blvd #b, San Gabriel, CA 91775RIA
BD
CRD#: 7717
Diamond Bar, CA
Current
September 1, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 660 N. Diamond Bar Blvd #268, Diamond Bar, CA 91765Office #2: 142 N San Gabriel Blvd #b, San Gabriel, CA 91775RIA
BD
CRD#: 7717
Diamond Bar, CA
Past
January 21, 2014 - March 6, 2020
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SAN MARINO, CA
Past
January 28, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
ALHAMBRA, CA
Past
January 28, 2013 - March 6, 2020
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ALHAMBRA, CA
Past
July 5, 2011 - January 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PASADENA, CA
Past
June 8, 2011 - January 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PASADENA, 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(9/1/2020)
IAR
California(9/1/2020)
RR
Massachusetts(7/2/2021)
RR
North Carolina(10/17/2025)
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.
