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28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-03-27 |
| CA | RA | APPROVED | 2020-06-08 |
| WI | RA | APPROVED | 2020-06-08 |
Branch Locations
28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677 • United States
926 Willard Drive Suite 220, Green Bay, WI 54304 • United States
2 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Client One Securities, Llc | Green Bay | WI | 05/2013 | 06/2020 |
| Tcfg Wealth Management, Llc | Laguna Niguel | CA | 06/2020 | Present |
| Tcfg Investment Advisors, Llc | Laguna Niguel | CA | 06/2020 | Present |
| Tcfg Insurance Solutions, Llc | Laguna Niguel | CA | 06/2020 | Present |
Officiate sporting events for youth and various high schools | 2008 | Not securities related | Appr 12 hours/per game | Licensed to follow/administer the rules of various sporting events | Don Dumas, NO | 4/1/2012 | Umpire | 3040 Allied St Green Bay, WI 54304 | Umpire softball games for both WIAA and Local Leagues/Tournaments | TCFG Investment Advisors, LLC | IAR | Laguna Niguel, CA 92677 | Investment Advisory Firm | TCFG Insurance Solutions, LLC | Agent | Laguna Niguel, CA 92677 | Insurance Agency |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-01 |
| S65 | Uniform Investment Adviser Law Examination | 1998-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1986-01-25 |
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