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KK

Kirk W. Knollman

TCFG WEALTH MANAGEMENT
LAGUNA NIGUEL, CA 92677
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CRD#: 2089445
KK
Kirk William KnollmanTCFG WEALTH MANAGEMENT

Professional summary

Kirk William Knollman, CFP®, who also goes by Kirk Knollman, Krik William Knollman, Kirk William Knollman, is a registered financial professional currently at TCFG WEALTH MANAGEMENT, LLC located in Laguna Niguel, California.

Kirk is registered as a RR (Registered Representative) and started their career in finance in 1990. Kirk has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10, Series 9, Series 8 and Series 4 exams.

Aliases

Kirk Knollman | Krik William Knollman | Kirk William Knollman

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kirk William Knollman'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®
CFP®

Certified Financial Planner

Start date: 2004

Experience

Current

May 7, 2021 - Present

TCFG WEALTH MANAGEMENT, LLC

Office #1: 28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677
BD
CRD#: 164153
LAGUNA NIGUEL, CA
Past

August 24, 2021 - September 13, 2021

TCFG INVESTMENT ADVISORS, LLC

RIA
CRD#: 166606
Loveland, OH
Past

September 20, 2019 - February 26, 2021

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
LOVELAND, OH
Past

May 14, 2012 - March 23, 2021

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
LOVELAND, OH
Past

May 14, 2012 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
LOVELAND, OH
Past

November 1, 2004 - June 5, 2012

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
CINCINNATI, OH
Past

October 29, 2004 - June 5, 2012

OPPENHEIMER & CO. INC.

BD
CRD#: 249
CINCINNATI, OH
Past

May 25, 2001 - November 2, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CINCINNATI, OH
Past

May 25, 2001 - November 2, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 23, 1994 - June 22, 2001

PNC BROKERAGE CORP

BD
CRD#: 34671
PITTSBURGH, PA
Past

September 8, 1993 - December 23, 1994

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
PITTSBURGH, PA
Past

February 5, 1991 - August 26, 1993

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

October 19, 1990 - February 1, 1991

ROBERT TODD FINANCIAL CORP.

BD
CRD#: 7423
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(2/13/2023)
RR
Florida
(6/28/2021)
RR
Georgia
(5/7/2021)
RR
Indiana
(5/24/2021)
RR
Michigan
(5/7/2021)
RR
Nevada
(7/1/2022)
RR
Ohio
(8/24/2021)
RR
Pennsylvania
(8/25/2021)
RR
Tennessee
(6/15/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/10/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/20/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 4
Date: 4/27/1992
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TW
TCFG WEALTH MANAGEMENT, LLC
TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153 / SEC#: , 8-69089

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677
Mailing Address
28202 Cabot Road, Suite 300, Laguna Niguel, CA 92677
Phone number
(949) 365-5830
Established
Delaware since 04/10/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (48 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CERTUS FINANCIAL GROUP, LLCMANAGING MEMBER
ROBERTS, RICHARD JAMESPRESIDENT / CEO2145874
TESLA, DEETRA MARIECCO2567278
THORNTON, STEVEN LEEFINOP / CFO4496384

Disclosures

Civil Event1

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.

Company Information

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153Laguna Niguel, CA 92677

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