JM
Jeffrey P. Morand
INDEPENDENT FINANCIAL GROUP
Englewood, CO 80111
Some features on this profile are disabled
CRD#: 728191
JM
Professional summary
Jeffrey Peter Morand, who also goes by Jeff Morand, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Englewood, Colorado.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Jeffrey has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Morand
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) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/1981 ADDRESS: 6500 South Quebec Street, Suite 300, Englewood CO 80111, United States DESCRIPTION: CO INSURANCE AGENT PROVIDNG VARIOUS TYPES OF INSURANCE (2) RENTAL PROPERTY POSITION: Owner NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2000 ADDRESS: 6500 South Quebec Street, Suite 300, Englewood CO 80111, United States DESCRIPTION: 100% RENTAL PROPERTY OWNER (3) JP MORAND & COMPANY POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 50 START DATE: 01/01/1981 ADDRESS: 6500 South Quebec Street, Suite 300, Englewood CO 80111, United States DESCRIPTION: 50% OWNER OF DBA JP MORAND & COMPANY USED FOR MARKETING SECURITIES AND ADVISORY PURPOSES. (4) COLLEGE FUNDING COACH (AKA)- JP Morand College Planning POSITION: Agent/Representative NATURE: Teaching/Coaching INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 01/02/2019 ADDRESS: 6500 South Quebec Street, Suite 300, Englewood CO 80111, United States DESCRIPTION: Help students with a majors, choice of schools and how to pay for college and career placement. (5) JP MORAND SUCCESS COACH POSITION: Independent Contractor NATURE: Consulting Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/19/2023 ADDRESS: 6500 South Quebec Street, Suite 300, Englewood CO 80111, United States DESCRIPTION: Success coach: Guide and supports individuals and businesses in achieving their personal and professional goals. Provide guidance, motivation, goal setting and marketing plans to help meet those personal and business goals. And to help blend personal and business goals to complement each other.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Peter Morand's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Peter Morand'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 2, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6500 South Quebec Street Suite 300, Englewood, CO 80111RIA
BD
CRD#: 7717
Englewood, CO
Current
January 3, 2019 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 6500 South Quebec Street Suite 300, Englewood, CO 80111RIA
BD
CRD#: 7717
Englewood, CO
Past
August 30, 2013 - December 31, 2019
RICE BROWN FINANCIAL SERVICES
RIA
CRD#: 148312
ENGLEWOOD, CO
Past
September 15, 2008 - December 31, 2018
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
ENGLEWOOD, CO
Past
August 19, 2008 - August 15, 2013
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
ENGLEWOOD, CO
Past
June 29, 2007 - August 28, 2008
HFG ADVISORS
RIA
CRD#: 113511
CENTENNIAL, CO
Past
May 17, 2007 - August 28, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ENGLEWOOD, CO
Past
October 12, 2000 - May 23, 2007
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
ENGLEWOOD, CO
Past
August 3, 2000 - May 23, 2007
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
ENGLEWOOD, CO
Past
January 31, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
January 31, 1991 - July 26, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
October 5, 1989 - November 30, 1990
LONDON PACIFIC SECURITIES, INC.
BD
CRD#: 25089
SACRAMENTO, CA
Past
May 14, 1984 - February 7, 1990
INTEGRATED RESOURCES MARKETING, INC.
BD
CRD#: 6546
NEW YORK, NY
Past
January 27, 1983 - October 7, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
April 13, 1981 - January 25, 1983
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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
Arizona(1/3/2019)
RR
California(1/3/2019)
IAR
Colorado(1/2/2019)
RR
Colorado(1/3/2019)
RR
Florida(9/16/2021)
RR
Georgia(10/26/2023)
RR
Hawaii(1/3/2019)
RR
Idaho(10/1/2021)
RR
Maryland(1/4/2023)
RR
Nevada(2/27/2025)
RR
New Mexico(3/28/2019)
RR
North Dakota(1/29/2024)
RR
South Carolina(2/4/2019)
RR
Texas(5/22/2019)
RR
Utah(8/28/2019)
RR
Wyoming(8/20/2019)
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.
