RD
Rodney Dir
TLG ADVISORS
Visalia, CA 93291
Some features on this profile are disabled
CRD#: 2063787
RD
Professional summary
Rodney Dir, who also goes by Rod Dir, Rodney Dale Dir, is a registered financial advisor currently at TLG ADVISORS, INC. located in Visalia, California.
Rodney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Rodney has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rod Dir | Rodney Dale Dir
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.
1.) TLG ADVISORS - 9/21/2021 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 10 hrs/mo; 10 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Rodney Dir's 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®
NoneExperience
Current
September 21, 2021 - Present
TLG ADVISORS, INC.
Office #1: 515 W Center Avenue, Visalia, CA 93291RIA
CRD#: 111052
Visalia, CA
Past
February 27, 2020 - November 3, 2021
SOUTHPORT CAPITAL
RIA
CRD#: 113364
CHATTANOOGA, TN
Past
September 2, 2015 - December 31, 2019
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
VISALIA, CA
Past
December 3, 2012 - December 31, 2019
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
VISALIA, CA
Past
January 2, 2009 - December 31, 2009
PACIFIC CAPITAL STRATEGIES, INC.
RIA
CRD#: 148095
VISALIA, CA
Past
March 18, 2004 - December 13, 2012
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
VISALIA, CA
Past
March 18, 2004 - December 13, 2012
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
VISALIA, CA
Past
November 30, 2001 - March 17, 2004
SUNSET FINANCIAL SERVICES, INC.
RIA
CRD#: 3538
VISALIA, CA
Past
August 9, 1993 - March 17, 2004
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
July 23, 1990 - August 3, 1993
ARM SECURITIES CORPORATION
BD
CRD#: 932
MINOT, ND
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".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 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.Highlighted states indicate IAR registrations
IAR
California(9/22/2021)
IAR
Washington(9/21/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 9/9/1997
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
