KW
Kyle Wong
INDEPENDENT FINANCIAL GROUP
New York, NY 10019
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CRD#: 6671817
KW
Professional summary
Kyle Wong, who also goes by Kyle H Wong, Kyle H Wong, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in New York, New York.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Kyle has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kyle H Wong | Kyle H Wong
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) W WEALTH STRATEGIES LLC POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/28/2021 ADDRESS: 1 Dewolf Road, Suite 103a, Old Tappan NJ 07675, United States DESCRIPTION: DBA for marketing purposes (2) F3LOGIC LLC POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 5 START DATE: 01/26/2022 ADDRESS: 150 West 56th Street, Suite 4012, New York NY 10019, United States DESCRIPTION: Outside RIA (3) WWS SERVICES POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/10/2022 ADDRESS: 150 West 56th Street, Suite 4012, New York NY 10019, United States DESCRIPTION: Tax services for preparing tax returns. (4) OUTSIDE INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 12/01/2021 ADDRESS: 150 West 56th Street, Suite 4012, New York NY 10019, United States DESCRIPTION: Selling insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Kyle Wong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kyle Wong'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 21, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 150 West 56th Street Suite 4012, New York, NY 10019RIA
BD
CRD#: 7717
New York, NY
Current
April 26, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 150 West 56th Street Suite 4012, New York, NY 10019RIA
BD
CRD#: 7717
New York, NY
Past
January 31, 2022 - May 19, 2023
F3LOGIC, LLC
RIA
CRD#: 289863
Old Tappan, NJ
Past
August 23, 2018 - May 5, 2021
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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(11/5/2021)
RR
Connecticut(7/12/2023)
RR
Delaware(1/12/2023)
RR
District of Columbia(7/19/2021)
RR
Florida(7/19/2021)
RR
Georgia(2/7/2025)
RR
Maryland(7/19/2021)
RR
Massachusetts(7/12/2023)
RR
Minnesota(7/27/2022)
RR
New Jersey(4/26/2021)
IAR
New Jersey(1/21/2022)
RR
New York(7/19/2021)
IAR
New York(1/21/2022)
RR
North Carolina(7/12/2023)
RR
Ohio(7/12/2023)
RR
Pennsylvania(11/3/2022)
RR
Rhode Island(11/5/2021)
Exams
State Security Law Exam
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.
