ET
Esteban S. Tormen
TLG ADVISORS
Miami, FL 33131
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CRD#: 4388242
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Professional summary
Esteban Santiago Tormen is a registered financial advisor currently at TLG ADVISORS, INC. located in Miami, Florida and THE LEADERS GROUP, INC. located in Miami, Florida.
Esteban is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Esteban has worked at 9 firms and has passed the Series 66, SIE, Series 3 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.
1.) PASSERELLE SOLUTIONS - 3/1/2021 - 1441 Brickell Avenue, Suite 1520, Miami, FL 33131 - Insurance & Premium Finance, Consulting, Not Invt Rel, Insurance business, 180 hrs/mo; 160 hrs/mo (during trading hours). 2.) TLG ADVISORS INC - 3/10/22 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR rep, Invt Rel, RA Business, 0 hrs/mo; 0 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Esteban Santiago Tormen's 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®
NoneExperience
Current
June 2, 2022 - Present
TLG ADVISORS, INC.
Office #1: 1441 Brickell Avenue Suite 1700, Miami, FL 33131RIA
CRD#: 111052
Miami, FL
Current
March 10, 2022 - Present
THE LEADERS GROUP, INC.
Office #1: 1441 Brickell Avenue Suite 1520, Miami, FL 33131BD
CRD#: 37157
Miami, FL
Past
January 28, 2020 - March 8, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Miami, FL
Past
January 27, 2020 - March 8, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Miami, FL
Past
March 7, 2016 - January 7, 2020
EFG ASSET MANAGEMENT (AMERICAS) CORP.
RIA
CRD#: 158905
MIAMI, FL
Past
February 22, 2016 - February 22, 2019
EFG CAPITAL ADVISORS INC.
RIA
CRD#: 112224
MIAMI, FL
Past
January 6, 2016 - January 7, 2020
EFG CAPITAL INTERNATIONAL
BD
CRD#: 40118
MIAMI, FL
Past
June 30, 2015 - December 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
June 29, 2015 - December 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
January 1, 2010 - September 12, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MIAMI, FL
Past
January 1, 2010 - September 12, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MIAMI, FL
Past
March 31, 2006 - January 1, 2010
UBS INTERNATIONAL INC.
RIA
CRD#: 107726
MIAMI, FL
Past
March 23, 2006 - January 1, 2010
UBS INTERNATIONAL INC.
BD
CRD#: 107726
MIAMI, FL
Past
June 17, 2005 - March 21, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CORAL GABLES, FL
Past
April 24, 2002 - March 21, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CORAL GABLES, FL
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".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 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.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
Florida(3/10/2022)
IAR
Florida(6/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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
TLG ADVISORS, INC.
CRD#: 111052Miami, FL 33131TRUST BUT VERIFY
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