Jon A. Kerby
Professional summary
Jon Alan Kerby is a registered financial advisor currently at TCFG INVESTMENT ADVISORS, LLC located in Escondido, California and TCFG WEALTH MANAGEMENT, LLC located in Escondido, California.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Jon has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jon Alan Kerby's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2014 - Present
TCFG INVESTMENT ADVISORS, LLC
Office #1: 500 La Terraza Blvd, Escondido, CA 92025August 14, 2013 - Present
TCFG WEALTH MANAGEMENT, LLC
Office #1: 500 La Terraza Blvd Suite 150, Escondido, CA 92025February 21, 2013 - August 22, 2013
THE PLANNERS NETWORK, INC.
January 5, 2005 - August 1, 2013
NATIONAL PLANNING CORPORATION
September 3, 2003 - December 31, 2005
MISSION HILLS FINANCIAL
February 23, 2000 - August 1, 2013
NATIONAL PLANNING CORPORATION
April 16, 1996 - February 23, 2000
PIM FINANCIAL SERVICES, INC.
August 2, 1995 - December 18, 1995
THE ADVISORS GROUP, INC.
November 18, 1993 - June 16, 1995
PIM FINANCIAL SERVICES, INC.
March 21, 1990 - March 25, 1991
PRINCIPAL SECURITIES, INC.
November 16, 1989 - January 31, 1990
PIM FINANCIAL SERVICES, INC.
February 8, 1989 - November 14, 1989
WARNER BECK INCORPORATED
November 29, 1988 - January 26, 1989
ARM SECURITIES CORPORATION
November 12, 1986 - November 14, 1989
WARNER BECK INCORPORATED
January 23, 1985 - November 17, 1986
TITAN/VALUE EQUITIES GROUP, INC.
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
(8/14/2013)
(1/9/2014)
(2/6/2019)
(2/6/2019)
(9/3/2013)
(6/12/2019)
(1/2/2020)
(9/21/2022)
(8/14/2013)
(8/25/2023)
(1/11/2016)
(8/14/2013)
(8/14/2013)
(8/14/2013)
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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