DM
Duayne J. Madl
INDEPENDENT FINANCIAL GROUP
Shawnee, KS 66203
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CRD#: 833183
DM
Professional summary
Duayne Joseph Madl is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Shawnee, Kansas.
Duayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Duayne has worked at 13 firms and has passed the Series 65, Series 63, Series 6TO, SIE 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.
(1) THE MADL COMPANY POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/07/1995 ADDRESS: 10820 Shawnee Mission Parkway, Suite 202, Shawnee KS 66203, United States DESCRIPTION: 100% OWNER OF DBA THE MADL COMPANY USED FOR MARKETING PURPOSES. (2) JESS LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1982 ADDRESS: 350 Kaw Lane East, Lake Quivira KS 66217, United States DESCRIPTION: OWNER OF PASTURE/HAY RENTING A PASTURE AND HAY PRODUCTION (3) REAL ESTATE POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1970 ADDRESS: 350 Kaw Lane East, Lake Quivira KS 66217, United States DESCRIPTION: REAL ESTATE INVESTOR FOR PERSONAL REAL ESTATE OWNED (4) INSURANCE, THE MADL COMPANY POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/07/1995 ADDRESS: 10820 Shawnee Mission Parkway, Suite 202, Shawnee KS 66203, United States DESCRIPTION: INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS
CRS (Client Relationship Summary) - RIA
Click below to view Duayne Joseph Madl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Duayne Joseph Madl'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 19, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 10820 Shawnee Mission Parkway Suite 202, Shawnee, KS 66203RIA
BD
CRD#: 7717
Shawnee, KS
Current
September 17, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 10820 Shawnee Mission Parkway Suite 202, Shawnee, KS 66203RIA
BD
CRD#: 7717
Shawnee, KS
Past
March 31, 2014 - November 9, 2017
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
September 24, 2012 - May 26, 2022
MAIN STREET ADVISORS, LLC
RIA
CRD#: 116303
HAYS, KS
Past
January 4, 2010 - October 15, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SHAWNEE, KS
Past
January 4, 2010 - October 15, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SHAWNEE, KS
Past
July 7, 2004 - December 31, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SHAWNEE, KS
Past
December 11, 2003 - December 31, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SHAWNEE, KS
Past
March 27, 2002 - December 18, 2003
CETERA ADVISORS LLC
RIA
CRD#: 10299
OVERLAND PARK, KS
Past
January 9, 2002 - December 18, 2003
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
November 19, 1997 - December 31, 2001
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
December 10, 1992 - November 25, 1997
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
September 26, 1991 - December 14, 1992
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 8, 1990 - September 30, 1991
CONSECO FINANCIAL SERVICES, INC.
BD
CRD#: 629
CARMEL, IN
Past
June 28, 1989 - August 7, 1989
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
June 28, 1989 - October 1, 1991
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
Past
September 24, 1981 - July 10, 1989
CONSECO FINANCIAL SERVICES, INC.
BD
CRD#: 629
CARMEL, IN
Past
February 3, 1977 - July 20, 1989
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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(10/10/2012)
RR
Florida(1/9/2024)
RR
Iowa(9/17/2012)
RR
Kansas(9/17/2012)
IAR
Kansas(1/19/2021)
RR
Louisiana(9/12/2018)
RR
Michigan(1/2/2018)
RR
Minnesota(2/4/2025)
RR
Missouri(9/17/2012)
RR
Nebraska(5/20/2013)
RR
North Carolina(9/17/2012)
RR
Texas(9/17/2012)
RR
Wisconsin(1/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/28/1977
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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Shawnee, KS 66203TRUST BUT VERIFY
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