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CH

Cristy D. Head

INDEPENDENT WEALTH ADVISORS
Cary, NC 27511
Some features on this profile are disabled
CRD#: 6589756
CH

Professional summary

Cristy Diane Head, who also goes by Cristy Diane Johnson, Cristy D Johnson, Cristy Diane Raymond, is a registered financial advisor currently at INDEPENDENT WEALTH ADVISORS, LLC located in Cary, North Carolina and LPL FINANCIAL LLC located in Cary, North Carolina.

Cristy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Cristy has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Cristy Diane Johnson | Cristy D Johnson | Cristy Diane Raymond

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. 07/01/2007 - SAID AND DONE LLC/ OTHER/ INVESTMENT RELATED/ 45%/ CARY, NC 2. 05/01/2019 - REAL ESTATE RENTAL/ REAL ESTATE RENTAL/ INVESTMENT RELATED/ 10%/ CARY, NC 27518 3. 01/17/2024 - Independent Wealth Advisors LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/15/2024 - 40 Hours Per Month/ During Trading 4. Personal and professional assistant to several clients, all over the age of 60. Personal duties include technical support, bill-payment assistance, filing, bookkeeping (no advice), organizing, etc. Professional duties including keeping track of donation income for a charity, digital organization of documents, and design of spreadsheets. No commissions, rather I receive an hourly rate of pay.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cristy Diane Head's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 19, 2024 - Present

INDEPENDENT WEALTH ADVISORS, LLC

Office #1: 167 E. Chatham Street Suite 300, Cary, NC 27511
RIA
CRD#: 328786
Cary, NC
Current

February 15, 2021 - Present

LPL FINANCIAL LLC

Office #2: 167 E Chatham St, Suite 300, Cary, NC 27511
RIA
BD
CRD#: 6413
Cary, NC
Past

April 12, 2021 - March 15, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
CARY, NC

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".
IW
INDEPENDENT WEALTH ADVISORS, LLC
INDEPENDENT WEALTH ADVISOR | INDEPENDENT WEALTH ADVISORS, LLC | INDEPENDENT WEALTH ADVISOR, LLC

CRD#: 328786 / SEC#: 801-129370

RIA
Registered Investment Advisory firm - (1/19/2024 Approved)

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
North Carolina
(4/5/2021)
IAR
North Carolina
(3/19/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/2/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/13/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/14/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

IW
INDEPENDENT WEALTH ADVISORS, LLC
INDEPENDENT WEALTH ADVISOR | INDEPENDENT WEALTH ADVISORS, LLC | INDEPENDENT WEALTH ADVISOR, LLC

CRD#: 328786 / SEC#: 801-129370

RIA
Registered Investment Advisory firm - (1/19/2024 Approved)
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Contact information

Main Address
167 E. Chatham Street Suite 300, Cary, NC 27511
Mailing Address
Phone number
(919) 749-7596
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (5 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A- INDEPENDENT WEALTH ADVISORS, LLC (10/13/2025)
WRAP FEE BROCHURE- INDEPENDENT WEALTH ADVISORS, LLC (10/13/2025)

Regulatory assets under management

Total Number of Accounts408
AUM (Assets Under Management)$ 184,176,859

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.

Company Information

INDEPENDENT WEALTH ADVISORS, LLC

CRD#: 328786Cary, NC 27511

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