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Current Employers
Tlg Advisors, Inc.

475 Springfield Ave, Summit, NJ 07901 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2018-03-29
  • TN RA
    APPROVED
    Since 2018-03-29

Branch Locations

475 Springfield Ave, Summit, NJ 07901 • United States

100 Country Club Drive, Suite 108, Hendersonville, TN 37075 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Employed Independent Pegram TN 05/1997 Present
The Leaders Group, Inc. Littleton CO 07/2013 Present
  • 05/1997 → Present
    Self Employed Independent
    Pegram, TN
  • 07/2013 → Present
    The Leaders Group, Inc.
    Littleton, CO
Previous Registrations
  • 2013-07-29 → 2017-12-31
    Hendersonville, TN
    Summit, NJ
  • 2012-06-04 → 2013-07-19
    Questar Asset Management, Inc.
    Minneapolis, MN
    Hendersonville, TN
Other Businesses

1) FOCUS RETIREMENT SOLUTIONS. - 10/1/2021 - 100 Country Club Drive, Suite 108, Hendersonville, TN 37075 - Owner/Licensed Agent, prospect, service clients and prospective clients; Life, LTC, DI insurance as well as the DBA being used as the name for my Leaders Group associated business of mutual funds, FIA, RIA annuities and any other securities related business, Inv't Rel, 160hrs/mo; 120 hrs/mo (during trading hours.) 2) FINANCIAL INDEPENDENCE GROUP - 7/1/13 - 19520 West Catawba Avenue, Suite 200, Cornelius, NC 28031 - Insurance Agent , (Life Insurance and Annuities), Work with clients and prospects on life and life insurance needs. Also submit annuity business through FIG, Inv't Rel, Insurance Sales , 100 hrs/mo; 100 hrs/mo (during trading hours). 3) TLG ADVISORS INC - SINCE 03/2018 - 26 W DRY CREEK CR, STE 800, LITTLETON CO 80120 - INV REL, IAR BSN, IAR REP, DEVOTE APPROX: 20 HRS/WK.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-06-01
S63 Uniform Securities Agent State Law Examination 2006-06-27
  • S65 Uniform Investment Adviser Law Examination
    2012-06-01
  • S63 Uniform Securities Agent State Law Examination
    2006-06-27
Other Names
  • Clifford S Goodwin

View on SEC IAPD

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