Carl L. Huntley

TCFG INVESTMENT ADVISORS

Austin, TX

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CRD#: 2689997

Professional summary

Carl Lance Huntley, who also goes by Carl Lance Huntley, is a registered financial advisor currently at TCFG INVESTMENT ADVISORS, LLC located in Austin, Texas and TCFG WEALTH MANAGEMENT, LLC located in Missouri City, Texas.

Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Carl has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carl Lance Huntley

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) NAME: Red Oak Compliance INV REL: Y ADD: 1101 Arrow Point Dr. # 301, Cedar Park TX 78613 POSITION: Associate START DATE: 04/2018 NO. HR/MO: 100 hours NO. HR/MO DURING SEC TRADING: 100 hours DESCRIBE DUTIES: provide compliance consulting services to contract clients 2)NAME: CLH Compliance, LLC INV REL: Y ADD: 8837 Mountain Path Cir, Austin TX 78759 NATURE: Consulting Services POSITION: Owner-Consultant START DATE: 02/2018 NO. HR/MO: 30 hours on night & weekends NO. HR/MO DURING SEC TRADING: 15 Hours DESCRIBE DUTIES: I provide compliance support to BD's & RIA's 3) Nex Level, LLC, Not INV REL: 8837 Mountain Path Cir, Austin TX 78759 NATURE: Personal Training/Basketball Coaching START: APRIL 2024 NO.HR/MO: 8 hours on nights/weekends NO/HR/MO DURING SEC TRADING DUTIES: Assist with player development strategies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Lance Huntley'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

July 18, 2024 - Present

TCFG INVESTMENT ADVISORS, LLC

RIA

CRD#: 166606

Austin, TX

Current

July 18, 2024 - Present

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153

MISSOURI CITY, TX

Past

February 23, 2022 - August 4, 2022

REALIZED FINANCIAL, INC.

RIA

CRD#: 22333

AUSTIN, TX

Past

February 23, 2022 - August 4, 2022

REALIZED FINANCIAL, INC.

CRD#: 22333

AUSTIN, TX

Past

April 29, 2019 - March 2, 2020

TITLEIST CAPITAL, LLC

RIA

CRD#: 126136

AUSTIN, TX

Past

April 29, 2019 - March 2, 2020

TITLEIST CAPITAL, LLC

CRD#: 126136

AUSTIN, TX

Past

July 18, 2018 - January 23, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 24, 2018 - February 24, 2020

TCFG INVESTMENT ADVISORS, LLC

RIA

CRD#: 166606

Austin, TX

Past

May 24, 2018 - February 24, 2020

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153

MISSOURI CITY, TX

Past

May 24, 2018 - March 2, 2020

WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054

IRVINE, CA

Past

June 22, 2017 - January 26, 2018

MICROVENTURE MARKETPLACE INC.

CRD#: 152513

AUSTIN, TX

Past

October 6, 2015 - June 12, 2017

HONEST DOLLAR

RIA

CRD#: 175013

AUSTIN, TX

Past

March 15, 2010 - October 21, 2015

KESTRA INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 151790

AUSTIN, TX

Past

May 18, 2006 - September 25, 2015

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

AUSTIN, TX

Past

May 18, 2006 - September 25, 2015

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

June 22, 2004 - May 9, 2006

RIVERSTONE WEALTH MANAGEMENT, INC.

RIA

CRD#: 40418

AUSTIN, TX

Past

June 22, 2004 - May 9, 2006

RIVERSTONE WEALTH MANAGEMENT, INC.

CRD#: 40418

AUSTIN, TX

Past

December 1, 2003 - January 30, 2004

AMHERST SECURITIES GROUP, L.P.

CRD#: 31141

AUSTIN, TX

Past

June 19, 2003 - November 10, 2003

ELECTRONIC TRADING GROUP, LLC

CRD#: 37453

NEW YORK, NY

Past

December 11, 2001 - June 19, 2003

PROTRADER SECURITIES L.P.

CRD#: 35233

AUSTIN, TX

Past

November 2, 1998 - November 30, 2001

CYBERTRADER, INC.

CRD#: 44523

AUSTIN, TX

Past

March 29, 1996 - July 10, 1996

NYLIFE SECURITIES LLC

CRD#: 5167

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

Texas
(7/18/2024)

IAR

Texas
(7/18/2024)

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

IAR

Series 65

Date: 9/24/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/27/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 10/23/1998

General Securities Principal 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.

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Advisor Monitoring

Firm Stability Insights

Carl L. Huntley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Lance Huntley's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCFG WEALTH MANAGEMENT, LLC

REALIZED FINANCIAL, INC.

REALIZED FINANCIAL, INC.

TITLEIST CAPITAL, LLC

TITLEIST CAPITAL, LLC

MML INVESTORS SERVICES, LLC

TCFG INVESTMENT ADVISORS, LLC

TCFG WEALTH MANAGEMENT, LLC

WAVELAND CAPITAL PARTNERS LLC

MICROVENTURE MARKETPLACE INC.

HONEST DOLLAR

KESTRA INSTITUTIONAL SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

RIVERSTONE WEALTH MANAGEMENT, INC.

RIVERSTONE WEALTH MANAGEMENT, INC.

AMHERST SECURITIES GROUP, L.P.

ELECTRONIC TRADING GROUP, LLC

PROTRADER SECURITIES L.P.

CYBERTRADER, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

TCFG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2003

Series 63

Date: 5/2/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/9/1998

Series 6

Date: 3/27/1996

Series 14

Date: 1/2/2023

Series 24

Date: 10/23/1998

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

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