Daniel Loy, financial advisor Milpitas CA
58 score

Daniel Loy

CRD Number: 3029654
Current Firm: Independent Financial Group, LLC

Daniel Loy (CRD# 3029654) is an Investment Advisor Representative working at Independent Financial Group, LLC in Milpitas, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Independent Financial Group Milpitas, CA Sep 2015 - Current 1
Voya Financial Advisors Milpitas, CA Sep 2014 - Sep 2015 1
Ing Financial Partners Milpitas, CA Sep 2007 - Sep 2014 7
Metlife Securities Foster City, CA Aug 2004 - Sep 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1998
S65 NASAA Investment Advisors Law Examination Oct 2000
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Daniel T. Loy
Phone Number: 858-436-3180
Firm Website: https://www.ifgsd.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    1,856
    MILLIONS
  • Total Number of Accounts
    9,804
    ACCOUNTS
  • Average Account Value
    $189,301
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
58

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