CT
Conrad A. Tarte
INDEPENDENT FINANCIAL GROUP
WATERBURY, CT
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CRD#: 728899
CT
Professional summary
Conrad Anthony Tarte, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Waterbury, Connecticut.
Conrad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Conrad has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 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.
CONTINENTAL NINE FINANCIAL SERVICES POSITION: DBA Sole Proprietor NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2025 ADDRESS: 161 Hillside Ave, Waterbury CT 06710, United States DESCRIPTION: I am the sole owner and proprietor. Duties include tax preparation and representation, estate planning evaluations, life insurance sales. CONTINENTAL NINE FINANCIAL MANAGEMENT, LLC POSITION: DBA Managing Member NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 05/01/2025 ADDRESS: 161 Hillside Ave, Waterbury CT 06710, United States DESCRIPTION: I am the sole owner and proprietor. Duties include fee based investment advisory, tax preparation and representation, and estate planning. COMMERCIAL INVESTMENTS INTERNATIONAL, INC POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2025 ADDRESS: 161 Hillside Ave, Waterbury CT 06710, United States DESCRIPTION: I am the President and I locate and make the final decisions to purchase, rehab and sell real estate property. The company is currently inactive.
CRS (Client Relationship Summary) - RIA
Click below to view Conrad Anthony Tarte's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Conrad Anthony Tarte'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: 1989
Experience
Current
April 30, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
WATERBURY, CT
Current
May 1, 2025 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
WATERBURY, CT
Past
April 16, 2024 - April 30, 2025
GROVE POINT ADVISORS, LLC
RIA
CRD#: 313171
Waterbury, CT
Past
September 5, 2006 - April 30, 2025
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
WATERBURY, CT
Past
March 31, 1999 - July 25, 2006
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
WATERBURY, CT
Past
August 28, 1987 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
April 14, 1982 - August 25, 1987
WADDELL & REED
BD
CRD#: 866
Past
April 23, 1981 - February 5, 1982
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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(5/1/2025)
RR
California(5/1/2025)
RR
Colorado(5/1/2025)
IAR
Connecticut(4/30/2025)
RR
Connecticut(5/1/2025)
RR
Florida(5/1/2025)
RR
Georgia(5/1/2025)
RR
Idaho(5/1/2025)
RR
Massachusetts(5/12/2025)
RR
Mississippi(5/1/2025)
RR
New Hampshire(5/1/2025)
RR
New York(5/1/2025)
RR
North Carolina(5/5/2025)
RR
Texas(5/1/2025)
IAR
Texas(5/2/2025)
RR
Virginia(5/1/2025)
RR
Washington(5/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
