Steven B. Sloan

TCFG INVESTMENT ADVISORS

Woodland Hills, CA

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CRD#: 1071749

Professional summary

Steven Barry Sloan, who also goes by Steve Sloan, is a registered financial advisor currently at TCFG INVESTMENT ADVISORS, LLC located in Woodland Hills, California and TCFG WEALTH MANAGEMENT, LLC located in Laguna Niguel, California.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Steven has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Sloan

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.

START DATE 1982 I DEVOTE 15-18 HRS/MO (MINIMAL DURING TRADING) AS AGENT FOR LIFE, DISABILITY AND LTC INSURANCE. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE INSURANCE MARKETING, PRODUCT RESEARCH, CLIENT PRESENTATIONS AND SALES. BUSINESS LOCATION: 5959 TOPANGA CANYON BLVD., STE. 305, WOODLAND HILLS, CA 91367

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Barry Sloan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

August 30, 2024 - Present

TCFG INVESTMENT ADVISORS, LLC

RIA

CRD#: 166606

Woodland Hills, CA

Current

August 30, 2024 - Present

TCFG WEALTH MANAGEMENT, LLC

Office #1: 28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677

CRD#: 164153

LAGUNA NIGUEL, CA

Past

May 31, 2019 - May 6, 2024

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

WOODLAND HILLS, CA

Past

May 31, 2019 - May 6, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

WOODLAND HILLS, CA

Past

February 15, 2019 - May 13, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Woodland Hills, CA

Past

February 15, 2019 - May 13, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Woodland Hills, CA

Past

December 20, 2012 - December 31, 2018

BRIDGE ADVISORY LLC

RIA

CRD#: 148282

WOODLAND HILLS, CA

Past

August 24, 2009 - March 22, 2013

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

WOODLAND HILLS, CA

Past

August 24, 2009 - December 31, 2018

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

WOODLAND HILLS, CA

Past

August 8, 2002 - August 25, 2009

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

WOODLAND HILLS, CA

Past

May 20, 1999 - August 25, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

WOODLAND HILLS, CA

Past

December 15, 1982 - May 20, 1999

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/30/2024)

IAR

California
(8/30/2024)

IAR

North Carolina
(11/27/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/1999

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: 6/5/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/14/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/18/2003

General Securities Principal Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

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Steven B. Sloan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Barry Sloan's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCFG WEALTH MANAGEMENT, LLC

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

BRIDGE ADVISORY LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

TCFG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1999

Series 63

Date: 10/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/5/2002

Series 6

Date: 12/14/1982

Series 24

Date: 9/18/2003

FINRA

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

Contact information

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