David M. Stern
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.
David Mark Stern, who also goes by Dave Stern, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2014 - August 16, 2021
TCFG INVESTMENT ADVISORS, LLC
August 29, 2013 - December 31, 2013
TCFG INVESTMENT ADVISORS, LLC
August 20, 2013 - October 17, 2024
TCFG WEALTH MANAGEMENT, LLC
September 29, 2011 - August 22, 2013
THE PLANNERS NETWORK, INC.
March 27, 2000 - September 10, 2010
NATIONAL PLANNING CORPORATION
March 24, 2000 - August 16, 2013
NATIONAL PLANNING CORPORATION
May 26, 1994 - March 28, 2000
ASSOCIATED SECURITIES CORP.
January 7, 1992 - June 28, 1994
CALIFORNIA ONE INVESTMENTS
February 16, 1990 - January 22, 1992
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 13, 1988 - February 28, 1990
CAPITAL BROKERAGE CORPORATION
April 16, 1987 - June 15, 1988
C. L. MCKINNEY & CO., INC.
December 26, 1986 - April 20, 1987
INTEGRATED RESOURCES EQUITY 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
Exams
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
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.
