Michael E. Halla

TCFG INVESTMENT ADVISORS

Manitowoc, WI 54220

Some features on this profile are disabled

CRD#: 2738221

Professional summary

Michael Edward Halla is a registered financial advisor currently at TCFG INVESTMENT ADVISORS, LLC located in Manitowoc, Wisconsin and TCFG WEALTH MANAGEMENT, LLC located in Manitowoc, Wisconsin.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 5 firms and has passed the Series 63, SIE and Series 7 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 Michael Edward Halla'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

December 5, 2018 - Present

TCFG INVESTMENT ADVISORS, LLC

Office #1: 100 Maritime Dr, Ste 3-a, Manitowoc, WI 54220

RIA

CRD#: 166606

Manitowoc, WI

Current

December 19, 2017 - Present

TCFG WEALTH MANAGEMENT, LLC

Office #1: 100 Maritime Dr, Ste 3-a, Manitowoc, WI 54220

CRD#: 164153

Manitowoc, WI

Past

July 30, 2012 - December 18, 2017

SII INVESTMENTS, INC.

RIA

CRD#: 2225

MANITOWOC, WI

Past

June 21, 2012 - July 20, 2012

SII INVESTMENTS, INC.

RIA

CRD#: 2225

MANITOWOC, WI

Past

June 21, 2012 - December 18, 2017

SII INVESTMENTS, INC.

CRD#: 2225

MANITOWOC, WI

Past

January 13, 1997 - July 19, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MANITOWOC, WI

Past

December 19, 1996 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 19, 1996 - July 19, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MANITOWOC, WI

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

Illinois
(2/5/2021)

North Dakota
(2/2/2018)

Ohio
(5/16/2023)

IAR

Ohio
(5/16/2023)

Wisconsin
(12/19/2017)

IAR

Wisconsin
(12/5/2018)

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: 1/10/1997

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: 12/18/1996

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Cory Henschel

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Manitowoc, WI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael E. Halla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Edward Halla's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCFG WEALTH MANAGEMENT, LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TCFG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/18/1996

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

Similar Advisors