CC
Chad M. Curtis
INDEPENDENT FINANCIAL GROUP
Woodstock, GA
Some features on this profile are disabled
CRD#: 6035941
CC
Professional summary
Chad Michael Curtis, who also goes by Chad M Curtis, Chad Michael Curtis, Chad Curtis, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Woodstock, Georgia.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Chad has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chad M Curtis | Chad Michael Curtis | Chad Curtis
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) STRATEGIC RETIREMENT SOLUTIONS, LLC - AMERICAN SENIOR BENEFITS; INV RELATED; 360 CHAMBERS ST, UNIT 106, WOODSTOCK, GA 30188; INSURANCE; MANAGER/PARTNER; START 10/2018; 120 HOURS PER MONTH; 120 HOURS DURING SECURITIES TRADING HOURS; 120 DURING SECURITIES TRADING HOURS; SELL FIXED INSURANCE AND MANAGEMENT OF OTHER AGENTS. (2) CAMPUS I STATION; NOT INVESTMENT RELATED; 2625 PIEDMONT ROAD, STE 56-413, ATLANTA, GA 30324; VENDING COMPANY; CO-OWNER; START 01/2005; 0 HOURS SPENT PER MONTH; 0 HOURS SPENT DURING TRADING HOURS; NOVELTY MACHINES IN LOCAL RESTAURANTS AND BUSINESSES. (3) CORNERSTONE BROKERAGE GROUP POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 10/19/2023 ADDRESS: 360 Chambers Street, Unit 106, Woodstock GA 30188, United States DESCRIPTION: Work with various Insurance carriers to get the best contracts Life and Health Insurance plans. Work with Agents to train and help them and their clients through education, quoting, underwriting, and other processes needed. (4) CHAD CURTIS POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2012 ADDRESS: 360 Chambers St, Unit 106, Woodstock GA 30188, United States DESCRIPTION: Insurance Agent - Life and Health (5) KEYSTONE FINANCIAL SERVICES POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 09/01/2023 ADDRESS: 360 Chambers Street, Unit 106, Woodstock GA 30188, United States DESCRIPTION: Investment Advisor Representative and Investment Representative
CRS (Client Relationship Summary) - RIA
Click below to view Chad Michael Curtis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Chad Michael Curtis'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 14, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #2: 202 Jackson Street, Vidalia, GA 30275RIA
BD
CRD#: 7717
Woodstock, GA
Current
September 12, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #2: 202 Jackson Street, Vidalia, GA 30275RIA
BD
CRD#: 7717
Woodstock, GA
Past
September 23, 2020 - September 12, 2023
GRADIENT SECURITIES, LLC
RIA
CRD#: 127701
Woodstock, GA
Past
September 22, 2020 - September 12, 2023
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
Woodstock, GA
Past
April 1, 2019 - July 23, 2020
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Alpharetta, GA
Past
March 15, 2019 - July 23, 2020
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Alpharetta, GA
Past
March 28, 2017 - September 10, 2018
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
Duluth, GA
Past
March 17, 2017 - September 10, 2018
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
DULUTH, GA
Past
March 11, 2014 - February 8, 2017
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ATLANTA, GA
Past
June 19, 2013 - February 8, 2017
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ATLANTA, GA
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
Georgia(9/12/2023)
IAR
Georgia(9/14/2023)
RR
South Carolina(9/12/2023)
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.
