MM
Maximilian C. Mann
PROFESSIONAL FINANCIAL ADVISORS
SAN JUAN CAPISTRANO, CA 92675-1515
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CRD#: 6871746
MM
Professional summary
Maximilian Chas Mann, CFP® is a registered financial advisor currently at PROFESSIONAL FINANCIAL ADVISORS INC located in San Juan Capistrano, California and INDEPENDENT FINANCIAL GROUP, LLC located in San Juan Capistrano, California.
Maximilian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Maximilian has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) PROFESSIONAL FINANCIAL ADVISORS, INC. POSITION: Independent Contractor NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 04/01/2018 ADDRESS: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano CA 92675, United States DESCRIPTION: OUTSIDE RIA. (2) PACIFIC CORPORATE CONSULTANTS, INC. POSITION: Independent Contractor NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 5 START DATE: 08/07/2017 ADDRESS: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano CA 92675, United States DESCRIPTION: TAX SERVICES. (3) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2018 ADDRESS: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano CA 92675, United States DESCRIPTION: OUTSIDE INSURANCE. (4) MAXIMILIAN MANN POSITION: Owner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2018 ADDRESS: 30 Vista Encanta, San Clemente CA 92672, United States DESCRIPTION: Voiceover acting roles and reading for various voiceover jobs. (5) THE FINANCIAL MANN, INC. POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 35 START DATE: 02/17/2023 ADDRESS: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano CA 92675, United States DESCRIPTION: Business Entity for Tax/Investment Purposes, affiliated with RIA, Professional Financial Advisors, Inc. (6) THE FINANCIAL MANN, INC. (TAX PRACTICE) POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 35 START DATE: 02/17/2023 ADDRESS: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano CA 92675, United States DESCRIPTION: Business Entity for Tax/Investment Purposes, associated to the tax practice from Pacific Corporate Consultants, Inc. THE FINANCIAL MANN, INC. POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 8 START DATE: 03/06/2023 ADDRESS: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano CA 92675, United States DESCRIPTION: Light Bookkeeping and accounting for some small businesses as well as working with Pacific Corporate Consultants Inc. for tax preparation.
CRS (Client Relationship Summary) - RIA
Click below to view Maximilian Chas Mann's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maximilian Chas Mann'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®
CFP®
Start date: 2021
Experience
Current
January 31, 2020 - Present
PROFESSIONAL FINANCIAL ADVISORS INC
Office #1: 30240 Rancho Viejo Road Suite A, San Juan Capistrano, CA 92675-1515RIA
CRD#: 105296
SAN JUAN CAPISTRANO, CA
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano, CA 92675RIA
BD
CRD#: 7717
San Juan Capistrano, CA
Current
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 30240 Rancho Viejo Rd; Ste A, San Juan Capistrano, CA 92675RIA
BD
CRD#: 7717
San Juan Capistrano, CA
Past
February 9, 2018 - July 15, 2022
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
San Juan Capistrano, CA
Past
January 18, 2018 - July 15, 2022
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
San Juan Capistrano, 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
IAR
California(1/31/2020)
RR
California(7/15/2022)
RR
Idaho(8/21/2024)
RR
Texas(6/6/2024)
RR
Washington(8/26/2024)
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.
