Eric Nichols

TCFG INVESTMENT ADVISORS

Redondo Beach, CA

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CRD#: 2710703

Professional summary

Eric Nichols is a registered financial advisor currently at TCFG INVESTMENT ADVISORS, LLC located in Redondo Beach, California and TCFG WEALTH MANAGEMENT, LLC located in Laguna Niguel, California.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Eric has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Nichols'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

January 21, 2020 - Present

TCFG INVESTMENT ADVISORS, LLC

RIA

CRD#: 166606

Redondo Beach, CA

Current

January 14, 2020 - Present

TCFG WEALTH MANAGEMENT, LLC

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

CRD#: 164153

LAGUNA NIGUEL, CA

Past

June 1, 2009 - March 13, 2019

MORGAN STANLEY

RIA

CRD#: 149777

ROLLING HILLS, CA

Past

June 1, 2009 - March 13, 2019

MORGAN STANLEY

CRD#: 149777

ROLLING HILLS, CA

Past

March 12, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ROLLING HILLS, CA

Past

March 5, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ROLLING HILLS, CA

Past

May 9, 1996 - March 8, 2001

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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

Arizona
(8/17/2020)

IAR

Arizona
(8/17/2020)

California
(1/15/2020)

IAR

California
(1/21/2020)

Colorado
(6/23/2023)

IAR

Colorado
(6/23/2023)

Louisiana
(11/17/2023)

IAR

Montana
(1/11/2024)

IAR

Nevada
(7/26/2021)

Nevada
(1/3/2025)

IAR

New Mexico
(11/18/2021)

New Mexico
(11/19/2021)

IAR

North Carolina
(8/15/2023)

IAR

Ohio
(11/18/2021)

Oregon
(4/11/2025)

South Dakota
(12/9/2021)

IAR

Texas
(8/10/2020)

Texas
(8/19/2022)

Virginia
(6/26/2024)

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: 10/20/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/13/1996

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: 7/30/1996

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 5/3/1996

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 9/28/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

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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Eric Nichols

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Nichols's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCFG WEALTH MANAGEMENT, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

TCFG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/20/2000

Series 63

Date: 5/13/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/30/1996

Series 52

Date: 5/3/1996

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 9/28/1998

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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