Richard J. Roberts
Professional summary
Richard James Roberts, who also goes by Rick Roberts, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard James Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 11, 2012 - Present
TCFG WEALTH MANAGEMENT, LLC
Office #1: 28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677Office #2: 28202 Cabot Road Suite 305, Laguna Niguel, CA 92677July 28, 2011 - February 1, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 7, 2006 - January 8, 2010
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 23, 2004 - March 21, 2006
USA ADVANCED PLANNERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
TCFG WEALTH MANAGEMENT, LLC
CRD#: 164153 / SEC#: , 8-69089
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Civil Event | 1 |
Red Flags
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