Sharon Lee Herbst

Current Employers

Tcfg Investment Advisors, Llc

28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677 • United States

Current Registrations

Authority	Category	Status	Date
ID	RA	APPROVED	2024-04-15
MA	RA	APPROVED	2023-04-06
NV	RA	APPROVED	2022-11-01
NY	RA	APPROVED	2022-05-03
AZ	RA	APPROVED	2021-03-26
IA	RA	APPROVED	2021-01-19
VT	RA	APPROVED	2020-06-17
IL	RA	APPROVED	2020-06-09
IN	RA	APPROVED	2020-05-15
MS	RA	APPROVED	2020-05-01
PA	RA	APPROVED	2020-04-15
MD	RA	APPROVED	2020-03-11
GA	RA	APPROVED	2020-03-10
LA	RA	APPROVED	2019-04-16
UT	RA	APPROVED	2019-03-08
TX	RA	APPROVED_RES	2019-02-08
CA	RA	APPROVED	2019-02-07
OH	RA	APPROVED	2019-02-07
SC	RA	APPROVED	2019-02-07
WA	RA	APPROVED	2018-03-05

ID RA
APPROVED

Since 2024-04-15
MA RA
APPROVED

Since 2023-04-06
NV RA
APPROVED

Since 2022-11-01
NY RA
APPROVED

Since 2022-05-03
AZ RA
APPROVED

Since 2021-03-26
IA RA
APPROVED

Since 2021-01-19
VT RA
APPROVED

Since 2020-06-17
IL RA
APPROVED

Since 2020-06-09
IN RA
APPROVED

Since 2020-05-15
MS RA
APPROVED

Since 2020-05-01
PA RA
APPROVED

Since 2020-04-15
MD RA
APPROVED

Since 2020-03-11
GA RA
APPROVED

Since 2020-03-10
LA RA
APPROVED

Since 2019-04-16
UT RA
APPROVED

Since 2019-03-08
TX RA
APPROVED_RES

Since 2019-02-08
CA RA
APPROVED

Since 2019-02-07
OH RA
APPROVED

Since 2019-02-07
SC RA
APPROVED

Since 2019-02-07
WA RA
APPROVED

Since 2018-03-05

Branch Locations

Spokane Valley, WA • United States

28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677 • United States

Disclosures

3 disclosure categories 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Calton & Associates, Inc.	Huntington Beach	CA	02/2016	06/2017
Tcfg Investment Advisors, Llc	Laguna Niguel	CA	08/2017	Present

02/2016 → 06/2017

Calton & Associates, Inc.

Huntington Beach, CA
08/2017 → Present

Tcfg Investment Advisors, Llc

Laguna Niguel, CA

Previous Registrations

1997-03-06 → 2002-06-28

Nelson Securities,Inc.

Spokane, WA

Other Businesses

Herbst Wealth Management; 12525 E 24th Ave, Spokane Valley, WA 99216; DBA FOR SECURITIES AND INSURANCE BUSINESS; OWNER/MANAGING DIRECTOR; 160 HOURS PER MONTH TCFG Wealth management. Yes securities related. 28202 Cabot Rd #300, Laguna Niguel, CA 92677. Only dealing with for IA accounts all business is advisory. Manage advisory accounts TCFG Insurance solutions. yes investment related. 28202 Cabot Rd #300, Laguna Niguel, CA 92677. all insurance products run through this side. Purchasing index annuities.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-01-04
S63	Uniform Securities Agent State Law Examination	1992-05-21

S65 Uniform Investment Adviser Law Examination

2018-01-04
S63 Uniform Securities Agent State Law Examination

1992-05-21

Other Names

Sharon Lee Terlizzi
Sharon Lee Terlizzi

View on SEC IAPD