DS
David A. Soczek
TLG ADVISORS
Minneapolis, MN 55448
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CRD#: 2316655
DS
Professional summary
David Alan Soczek, ChFC®, CLU®, who also goes by David A Soczek, is a registered financial advisor currently at TLG ADVISORS, INC. located in Minneapolis, Minnesota and THE LEADERS GROUP, INC. located in Summit, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. David has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David A Soczek
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.) NATIONAL BENEFITS GROUP LLC - 12/1/08 - 10160 Foley Blvd NW, Suite 100, Minneapolis, MN 55448 - Vice President, Marketing/design/implementation and ongoing oversite of non qualified plans as well as the funding of those plans via BOLI and COLI sales and individual life ins and annuity sales, Not Invt Rel, BOLI & COLI business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) TLG ADVISORS INC - 2/3/25 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, RA business, 0 hrs/mo; 0 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view David Alan Soczek'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®
Experience
Current
February 3, 2025 - Present
TLG ADVISORS, INC.
Office #1: 10160 Foley Blvd Nw, Suite 100, Minneapolis, MN 55448RIA
CRD#: 111052
Minneapolis, MN
Current
February 3, 2025 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
May 12, 2006 - January 31, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Minneapolis, MN
Past
March 23, 2005 - May 17, 2006
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MINNETONKA, MN
Past
January 31, 2003 - April 21, 2004
MMC SECURITIES LLC
RIA
CRD#: 103846
MINNEAPOLIS, MN
Past
December 30, 2000 - November 24, 2004
MMC SECURITIES LLC
BD
CRD#: 103846
NEW YORK, NY
Past
January 19, 1996 - December 30, 2000
MARSH & MCLENNAN SECURITIES CORPORATION
BD
CRD#: 556
NEW YORK, NY
Past
February 21, 1995 - June 12, 1995
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
August 5, 1993 - August 16, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 5, 1993 - August 16, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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.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
Alabama(2/3/2025)
RR
California(2/3/2025)
RR
Florida(2/3/2025)
RR
Georgia(2/3/2025)
RR
Iowa(2/3/2025)
RR
Kansas(2/3/2025)
RR
Minnesota(2/3/2025)
IAR
Minnesota(2/3/2025)
RR
Mississippi(2/3/2025)
RR
New Jersey(2/3/2025)
RR
North Dakota(2/3/2025)
RR
Oregon(2/3/2025)
RR
Tennessee(2/3/2025)
RR
Texas(2/3/2025)
RR
Wisconsin(2/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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.
Company Information
TLG ADVISORS, INC.
CRD#: 111052Minneapolis, MN 55448TRUST BUT VERIFY
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