KD
Kim T. Dang
INDEPENDENT FINANCIAL GROUP
Henderson, NV 89012
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CRD#: 6751208
KD
Professional summary
Kim Thanh Dang, who also goes by Kim Dang, Thanh Kim Dang, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Henderson, Nevada.
Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Kim has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim Dang | Thanh Kim Dang
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) CORNERSTONE WEALTH MANAGEMENT POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 60 START DATE: 04/25/2023 ADDRESS: 1368 Paseo Verde Pkwy, Ste. 100, Henderson NV 89012, United States DESCRIPTION: ADMINISTRATIVE ROLE ONLY.
CRS (Client Relationship Summary) - RIA
Click below to view Kim Thanh Dang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kim Thanh Dang'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
May 1, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1368 Paseo Verde Pkwy Ste. 100, Henderson, NV 89012RIA
BD
CRD#: 7717
Henderson, NV
Current
April 26, 2023 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 1368 Paseo Verde Pkwy Ste. 100, Henderson, NV 89012RIA
BD
CRD#: 7717
Henderson, NV
Past
March 2, 2021 - April 19, 2023
WHALEN FINANCIAL
RIA
CRD#: 311869
LAS VEGAS, NV
Past
January 20, 2021 - April 6, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Las Vegas, NV
Past
October 7, 2019 - January 25, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAS VEGAS, NV
Past
September 27, 2019 - January 25, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
LAS VEGAS, NV
Past
April 10, 2018 - August 1, 2019
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Newport Beach, CA
Past
November 17, 2017 - July 8, 2019
MIRAMONTES CAPITAL, LLC
RIA
CRD#: 264786
NEWPORT BEACH, CA
Past
September 5, 2017 - October 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SEAL BEACH, CA
Past
April 11, 2017 - October 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SEAL BEACH, 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
Nevada(4/26/2023)
IAR
Nevada(5/1/2023)
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.
