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WW

Wesley T. Wolf

TCFG WEALTH MANAGEMENT
Mission Viejo, CA 92691
Some features on this profile are disabled
CRD#: 2905539
WW

Professional summary

Wesley Thomas Wolf is a registered financial professional currently at TCFG WEALTH MANAGEMENT, LLC located in Mission Viejo, California.

Wesley is registered as a RR (Registered Representative) and started their career in finance in 1997. Wesley has worked at 3 firms and has passed the Series 63, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wesley Thomas Wolf'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

November 1, 2013 - Present

TCFG WEALTH MANAGEMENT, LLC

Office #1: 25909 Pala Suite 380, Mission Viejo, CA 92691
BD
CRD#: 164153
Mission Viejo, CA
Past

August 23, 1999 - October 30, 2013

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LAGUNA NIGUEL, CA
Past

July 3, 1997 - August 19, 1999

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(1/2/2020)
RR
California
(11/1/2013)
RR
Idaho
(4/29/2022)
RR
Ohio
(1/2/2024)
RR
Utah
(1/2/2024)
RR
Washington
(5/20/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 8/13/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/23/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TW
TCFG WEALTH MANAGEMENT, LLC
TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153 / SEC#: , 8-69089

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677
Mailing Address
28202 Cabot Road, Suite 300, Laguna Niguel, CA 92677
Phone number
(949) 365-5830
Established
Delaware since 04/10/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CERTUS FINANCIAL GROUP, LLCMANAGING MEMBER
ROBERTS, RICHARD JAMESPRESIDENT / CEO2145874
TESLA, DEETRA MARIECCO2567278
THORNTON, STEVEN LEEFINOP / CFO4496384

Disclosures

Civil Event1

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

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153Mission Viejo, CA 92691

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