Richard James Roberts
Professional Summary
Richard James Roberts, who also goes by Rick Roberts, is a registered financial advisor currently at TCFG WEALTH MANAGEMENT, LLC located in Laguna Niguel, California. Richard is registered as a RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 4 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 7TO, SIE, Series 7, Series 3, Series 53, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Roberts
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
TCFG WEALTH MANAGEMENT, LLC
Contact Information
Main Address
28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677Mailing Address
28202 Cabot Road, Suite 300, Laguna Niguel, CA 92677Phone Number
(949) 365-5830Established
Delaware since 04/10/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (48 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Civil Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/10/2013)
(4/10/2013)
(3/27/2013)
(12/11/2012)
(4/5/2013)
(4/4/2013)
(4/4/2013)
(5/13/2013)
(5/3/2013)
(2/27/2013)
(3/26/2013)
(3/26/2013)
(4/2/2013)
(4/2/2013)
(4/3/2013)
(3/28/2013)
(4/25/2013)
(4/1/2013)
(4/24/2013)
(3/27/2013)
(2/18/2020)
(3/28/2013)
(4/1/2013)
(3/25/2013)
(4/19/2013)
(3/27/2013)
(4/2/2013)
(3/26/2013)
(4/1/2013)
(3/25/2013)
(4/24/2013)
(4/3/2013)
(4/2/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard James Roberts's CRS (Customer Relationship Summary).
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