EM
Edward T. Mcfarlane
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CRD#: 2492335
EM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edward Thomas Mcfarlane was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1997. Edward had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
TCFG Insurance Solutions, LLC | Agent | 11/2018 | 28202 Cabot Road, Ste 300 Laguna Niguel, CA 92677 | Insurance Agency | TCFG Investment Advisors, LLC | RIA Advisor | 11/2018 | 28202 Cabot Road Ste, 300 Laguna Niguel |
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 25, 2023 - February 23, 2024
SB ADVISORY, LLC
RIA
CRD#: 154680
Glenside, PA
Past
September 21, 2023 - February 23, 2024
SAN BLAS SECURITIES LLC
BD
CRD#: 290605
CHICAGO, IL
Past
January 31, 2019 - February 1, 2024
TCFG INVESTMENT ADVISORS, LLC
RIA
CRD#: 166606
Glenside, PA
Past
December 1, 2018 - August 2, 2023
TCFG WEALTH MANAGEMENT, LLC
BD
CRD#: 164153
LAGUNA NIGUEL, CA
Past
November 30, 2018 - December 17, 2018
TCFG INVESTMENT ADVISORS, LLC
RIA
CRD#: 166606
Glenside, PA
Past
February 21, 2017 - December 12, 2018
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
GLENSIDE, PA
Past
February 21, 2017 - December 12, 2018
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
GLENSIDE, PA
Past
February 9, 2012 - February 23, 2017
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
JENKINTOWN, PA
Past
September 26, 2008 - February 23, 2017
OPPENHEIMER & CO. INC.
BD
CRD#: 249
JENKINTOWN, PA
Past
January 1, 2008 - October 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HORSHAM, PA
Past
September 1, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
HORSHAM, PA
Past
February 27, 2003 - September 6, 2006
EDWARD JONES
BD
CRD#: 250
ABINGTON, PA
Past
July 25, 2001 - June 21, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
May 22, 2000 - July 11, 2001
FORUM FINANCIAL SERVICES, LLC
BD
CRD#: 38816
PORTLAND, ME
Past
June 9, 1998 - December 31, 1998
OLD MUTUAL INVESTMENT PARTNERS
BD
CRD#: 44916
BOSTON, MA
Past
April 18, 1997 - June 12, 1998
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
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".
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184
Mailing Address
Phone number
(404) 704-0406
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,540 |
| AUM (Assets Under Management) | $ 404,771,341 |
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.
