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28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-07-18 |
Branch Locations
28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Honest Advisors, Llc | Austin | TX | 10/2015 | 05/2017 |
| Honest Dollar, Inc. | Austin | TX | 10/2015 | 05/2017 |
| Microventure Marketplace Inc. | Austin | TX | 05/2017 | 01/2018 |
| Tcfg Wealth Management, Llc | Laguna Niguel | CA | 05/2018 | 02/2020 |
| Tcfg Investment Advisors, Llc | Laguna Niguel | CA | 05/2018 | 02/2020 |
| Clh Compliance, Llc | Austin | TX | 02/2018 | Present |
| Red Oak Compliance, Llc | Cedar Park | TX | 04/2018 | Present |
| Massmutual | Springfield | MA | 05/2018 | 12/2018 |
| Mml Investors Services, Llc | Springfield | MA | 07/2018 | 12/2018 |
| Newchip Capital, Llc | Austin | TX | 09/2018 | 04/2019 |
| Thornhill Securities | Austin | TX | 02/2022 | 08/2022 |
| Tcfg Investment Advisors Llc | Laguna Niguel | CA | 08/2026 | Present |
1) NAME: Red Oak Compliance INV REL: Y ADD: 1101 Arrow Point Dr. # 301, Cedar Park TX 78613 POSITION: Associate START DATE: 04/2018 NO. HR/MO: 100 hours NO. HR/MO DURING SEC TRADING: 100 hours DESCRIBE DUTIES: provide compliance consulting services to contract clients 2)NAME: CLH Compliance, LLC INV REL: Y ADD: 8837 Mountain Path Cir, Austin TX 78759 NATURE: Consulting Services POSITION: Owner-Consultant START DATE: 02/2018 NO. HR/MO: 30 hours on night & weekends NO. HR/MO DURING SEC TRADING: 15 Hours DESCRIBE DUTIES: I provide compliance support to BD's & RIA's 3) Nex Level, LLC, Not INV REL: 8837 Mountain Path Cir, Austin TX 78759 NATURE: Personal Training/Basketball Coaching START: APRIL 2024 NO.HR/MO: 8 hours on nights/weekends NO/HR/MO DURING SEC TRADING DUTIES: Assist with player development strategies.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-02 |
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