Thomas J. Wolf
Professional summary
Thomas John Wolf, CFP® is a registered financial advisor currently at TCFG INVESTMENT ADVISORS, LLC located in Mission Viejo, California and TCFG WEALTH MANAGEMENT, LLC located in Mission Viejo, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Wolf's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1988
Experience
January 10, 2014 - Present
TCFG INVESTMENT ADVISORS, LLC
Office #1: 25909 Pala Suite 380, Mission Viejo, CA 92691November 1, 2013 - Present
TCFG WEALTH MANAGEMENT, LLC
Office #1: 25909 Pala Suite 380, Mission Viejo, CA 92691November 1, 2013 - December 31, 2013
TCFG INVESTMENT ADVISORS, LLC
May 29, 2001 - October 30, 2013
THE PLANNERS NETWORK, INC.
September 9, 1999 - February 5, 2004
NATIONAL PLANNING CORPORATION
August 17, 1999 - October 30, 2013
NATIONAL PLANNING CORPORATION
July 3, 1985 - August 19, 1999
ASSOCIATED SECURITIES CORP.
January 28, 1985 - June 14, 1985
CONTINENTAL INVESTOR SERVICES CORPORATION
Primary Firm SEC Registration
TCFG INVESTMENT ADVISORS, LLC
CRD#: 166606 / SEC#: 801-77596
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/1/2013)
(2/12/2019)
(11/1/2013)
(1/10/2014)
(11/1/2013)
(2/7/2019)
(10/27/2022)
(12/6/2022)
(11/18/2021)
(2/7/2019)
(3/18/2019)
(11/1/2013)
(5/28/2021)
(2/7/2022)
(1/3/2020)
(2/15/2019)
(1/6/2020)
(11/1/2013)
(1/7/2020)
(10/27/2022)
(11/4/2013)
(1/3/2020)
(11/1/2013)
(1/29/2020)
(1/12/2016)
(11/1/2013)
(1/16/2020)
(11/19/2021)
(11/1/2013)
(6/3/2020)
(11/1/2013)
(3/26/2020)
(11/1/2013)
(2/8/2019)
(11/1/2013)
(2/7/2019)
(1/3/2020)
(2/6/2019)
(2/2/2022)
(11/1/2013)
(2/8/2019)
Exams
FINRA
Current Firm
TCFG INVESTMENT ADVISORS, LLC
CRD#: 166606 / SEC#: 801-77596
Contact information
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,344 |
| AUM (Assets Under Management) | $ 575,111,609 |
Red Flags
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