Randall J. Montoya

TCFG INVESTMENT ADVISORS

LAS VEGAS, NV

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CRD#: 3130688

Professional summary

Randall Joseph Montoya, who also goes by Randall J Montoya, Randy Montoya, is a registered financial advisor currently at TCFG INVESTMENT ADVISORS, LLC located in Las Vegas, Nevada and TCFG WEALTH MANAGEMENT, LLC located in Mission Viejo, California.

Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Randall has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randall J Montoya | Randy Montoya

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.

IAR for TCFG Investment Advisors, LLC | TCFG Insurance Solutions Ins. Rep. Laguna Niguel, CA | Mr. Montoya is associated with TCFG Wealth Management, LLC ("TCFG Wealth") a registered broker-dealer, and member of the Financial Industry Regulatory Authority ("FINRA"). His activities with TCFG Wealth comprise approximately 35% of his time. Mr. Montoya is licensed as an insurance agent and in the business of selling insurance products through TCFG Insurance Solutions, LLC (TCFG Insurance Solutions"). The sale of these products accounts for approximately 5% of business time.| RLR 2020 Ventures LLC | Partnership | Non- Investment Related | 5 hours/month; 0 hours/during securities hours | Start Date: 7/19/2023 | 15 Blue Canyon Way, Santa Fe NM 87507 | Cabin Rental - Airbnb - Part-time - When not in personal use | Duties: Cleaning Landscaping, Maintenance, Remodeling | This is a personal Property that is not used all the time and would like to Air bnb when not in personal use |

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Joseph Montoya'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

February 12, 2014 - Present

TCFG INVESTMENT ADVISORS, LLC

RIA

CRD#: 166606

LAS VEGAS, NV

Current

January 16, 2014 - Present

TCFG WEALTH MANAGEMENT, LLC

Office #1: 25909 Pala Suite 380, Mission Viejo, CA 92691

CRD#: 164153

Mission Viejo, CA

Past

January 2, 2004 - December 13, 2013

THE PLANNERS NETWORK, INC.

RIA

CRD#: 108355

LAS VEGAS, NV

Past

July 18, 2002 - September 29, 2003

THE PLANNERS NETWORK, INC.

RIA

CRD#: 108355

LAS VEGAS, NV

Past

March 22, 2000 - December 5, 2013

NATIONAL PLANNING CORPORATION

CRD#: 29604

LAS VEGAS, NV

Past

September 7, 1999 - March 23, 2000

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

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
(1/16/2014)

IAR

California
(8/6/2021)

IAR

Nevada
(2/12/2014)

Nevada
(10/13/2014)

New Mexico
(1/16/2014)

IAR

New Mexico
(11/12/2019)

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: 7/10/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/4/1999

Investment Company Products/Variable Contracts 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)

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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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Firm Stability Insights

Randall J. Montoya

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Joseph Montoya's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCFG WEALTH MANAGEMENT, LLC

THE PLANNERS NETWORK, INC.

THE PLANNERS NETWORK, INC.

NATIONAL PLANNING CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

TCFG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/2002

Series 63

Date: 7/21/1999

SIE

Date: 10/1/2018

Series 6

Date: 9/4/1999

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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