DK
Duane K. Knopke
INDEPENDENT FINANCIAL GROUP
Escondido, CA
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CRD#: 813353
DK
Professional summary
Duane Keith Knopke is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Escondido, California.
Duane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Duane has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 1 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.
DUANE K. KNOPKE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 12/13/2021 ADDRESS: 2437 Heatherwood Court, Escondido CA 92026, United States DESCRIPTION: I will be prospecting for and selling life, health and disability insurance and fixed annuities. I am no longer affiliated with Stokes Financial Group. KNOPKE FINANCIAL SERVICES POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 130 START DATE: 12/01/2023 ADDRESS: 2437 HEATHERWOOD CT., ESCONDIDO CA 92026, United States DESCRIPTION: To continue to work and provide services available through Independent Financial Group.
CRS (Client Relationship Summary) - RIA
Click below to view Duane Keith Knopke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Duane Keith Knopke'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
March 11, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Escondido, CA
Current
March 10, 2009 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Escondido, CA
Past
November 18, 1998 - March 16, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
November 10, 1998 - March 16, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
September 4, 1990 - November 3, 1998
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 15, 1986 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
March 27, 1984 - January 13, 1986
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
September 23, 1977 - March 12, 1984
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
BD
CRD#: 32
Past
October 3, 1975 - November 2, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
October 3, 1975 - November 2, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
October 3, 1975 - November 2, 1977
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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(3/10/2009)
RR
California(3/10/2009)
IAR
California(3/11/2009)
RR
Florida(2/8/2018)
RR
Michigan(8/17/2021)
RR
Minnesota(6/18/2025)
RR
Nevada(3/10/2009)
RR
Tennessee(3/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/29/1975
Registered Representative ExaminationSRO 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.
