Howard M. Wolfson

TCFG INVESTMENT ADVISORS

Cincinnati, OH

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CRD#: 2154266

Professional summary

Howard Michael Wolfson, who also goes by Howard M Wolfson, is a registered financial advisor currently at TCFG INVESTMENT ADVISORS, LLC located in Cincinnati, Ohio and TCFG WEALTH MANAGEMENT, LLC located in Laguna Niguel, California.

Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Howard has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Howard M Wolfson

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) - RIA

Click below to view Howard Michael Wolfson'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®

None

Experience

Current

February 11, 2026 - Present

TCFG INVESTMENT ADVISORS, LLC

RIA

CRD#: 166606

Cincinnati, OH

Current

February 10, 2026 - Present

TCFG WEALTH MANAGEMENT, LLC

Office #1: 28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677

CRD#: 164153

LAGUNA NIGUEL, CA

Past

August 3, 2004 - December 31, 2025

GOLD COAST SECURITIES, INC.

RIA

CRD#: 110925

CINCINNATI, OH

Past

August 3, 2004 - December 31, 2025

GOLD COAST SECURITIES, INC.

CRD#: 110925

THOUSAND OAKS, CA

Past

May 4, 2004 - August 2, 2004

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 109771

PITTSBURGH, PA

Past

May 3, 2004 - August 2, 2004

NEWEDGE SECURITIES, LLC

CRD#: 10674

PITTSBURGH, PA

Past

June 23, 2003 - May 4, 2004

FDX ADVISORS, INC.

RIA

CRD#: 104601

CINCINNATI, OH

Past

July 10, 1997 - May 3, 2004

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

Past

July 5, 1991 - July 15, 1997

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

TCFG INVESTMENT ADVISORS, LLC

TCFG INVESTMENT ADVISORS, LLC | TCFG WEALTH MANAGEMENT, LLC

CRD#: 166606 / SEC#: 801-77596

RIA

Registered Investment Advisory firm - (2/9/2013 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.

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

Ohio
(2/11/2026)

IAR

Ohio
(2/11/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/2/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TCFG INVESTMENT ADVISORS, LLC

TCFG INVESTMENT ADVISORS, LLC | TCFG WEALTH MANAGEMENT, LLC

CRD#: 166606 / SEC#: 801-77596

RIA

Registered Investment Advisory firm - (2/9/2013 Approved)

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Contact information

Main Address

28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677

Mailing Address

Phone number

(949) 365-5830

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TCFG IA PART IIA BROCHURE - JUNE 2024 (3/31/2025)

WRAP BROCHURE - MARCH 2024 (3/31/2025)

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.

Contact information

xxxxx@xxxx.xxx

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Howard M. Wolfson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Michael Wolfson's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCFG WEALTH MANAGEMENT, LLC

GOLD COAST SECURITIES, INC.

GOLD COAST SECURITIES, INC.

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

NEWEDGE SECURITIES, LLC

FDX ADVISORS, INC.

LONDON PACIFIC SECURITIES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

TCFG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/1998

SIE

Date: 10/1/2018

Series 6

Date: 7/2/1991

FINRA

Current Firm

TCFG INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCFG INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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