William O. Lenihan

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CRD#: 1059611

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William O Lenihan JR, who also goes by Will Lenihan, William Odonnell Lenihan Jr, William O Lenihan Jr, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1982. William had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Will Lenihan | William Odonnell Lenihan Jr | William O Lenihan Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 816

NEW YORK, NY

Past

February 21, 1999 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

January 15, 1997 - October 8, 1998

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

January 8, 1995 - January 23, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 12, 1984 - November 28, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 14, 1983 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

September 28, 1982 - October 19, 1982

MORGAN STANLEY DW INC.

CRD#: 7556

Past

September 25, 1982 - December 9, 1983

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TCFG INVESTMENT ADVISORS, LLC

TCFG INVESTMENT ADVISORS, LLC | TCFG WEALTH MANAGEMENT, LLC

CRD#: 166606 / SEC#: 801-77596

RIA

Registered Investment Advisory firm - (2/9/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/6/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 5/4/2011

General Securities Sales Supervisor - Options Module Examination

Current Firm

TCFG INVESTMENT ADVISORS, LLC

TCFG INVESTMENT ADVISORS, LLC | TCFG WEALTH MANAGEMENT, LLC

CRD#: 166606 / SEC#: 801-77596

RIA

Registered Investment Advisory firm - (2/9/2013 Approved)

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Contact information

Main Address

28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677

Mailing Address

Phone number

(949) 365-5830

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TCFG IA PART IIA BROCHURE - JUNE 2024 (3/31/2025)

WRAP BROCHURE - MARCH 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,344
AUM (Assets Under Management)	$ 575,111,609

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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William O. Lenihan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TCFG WEALTH MANAGEMENT, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

WELLS FARGO SECURITIES INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

MORGAN STANLEY DW INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

Primary Firm SEC Registration

TCFG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/1998

Series 63

Date: 5/12/1983

SIE

Date: 10/1/2018

Series 7

Date: 9/18/1982

Series 9

Date: 5/4/2011

Current Firm

TCFG INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCFG INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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