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SJ

Steven E. Jaksch

TCFG INVESTMENT ADVISORS
Laguna Niguel, CA 92677
Some features on this profile are disabled
CRD#: 4405023
SJ

Professional summary

Steven Erik Jaksch, who also goes by Steven Jaksch, is a registered financial advisor currently at TCFG INVESTMENT ADVISORS, LLC located in Laguna Niguel, California and TCFG WEALTH MANAGEMENT, LLC located in Laguna Niguel, California.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 5 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Steven Jaksch

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.
Mr. Jaksch is associated with TCFG Wealth Management, LLC ("TCFG Wealth") | Registered Broker Dealer | 98% of the time | Argyos Alumni Association | Not investment related | 6/15/2021| Board member Unpaid | Orange, CA | 5 hours/month; 0 during trading hours | Coordinating events for alumni, raising awareness of graduate programs | Tower Two Advisors | Investment related | President | Anaheim, CA | 40 hours/month | TCFG investment advisors | Investment related | 10/2021 | 28202 Cabot Road, Ste 300, Laguna Niguel, CA 92677 | 160 hours/month during trading hours | Financial planning, investment management; Advising on investments/wealth advisor | Chapman University | Not Investment related | 4/1/23 | One university Drive, Orange, CA 92866 | Adjunct Professor |20 hours/month. O hours during trading hours |Teaching one class per semester in the business school |

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Erik Jaksch'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 3, 2020 - Present

TCFG INVESTMENT ADVISORS, LLC

Office #1: 28202 Cabot Rd Suite 300, Laguna Niguel, CA 92677
RIA
CRD#: 166606
Laguna Niguel, CA
Current

December 3, 2020 - Present

TCFG WEALTH MANAGEMENT, LLC

Office #1: 28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677
BD
CRD#: 164153
LAGUNA NIGUEL, CA
Past

August 13, 2019 - October 13, 2020

COMPOSITION WEALTH, LLC

RIA
CRD#: 143483
LOS ANGELES, CA
Past

June 19, 2002 - August 14, 2019

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Brea, CA
Past

June 19, 2002 - August 14, 2019

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Brea, CA
Past

September 28, 2001 - May 30, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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".
TI
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.
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
(11/17/2021)
IAR
Arizona
(12/1/2021)
RR
California
(12/3/2020)
IAR
California
(12/3/2020)
IAR
Florida
(12/2/2021)
RR
Minnesota
(11/17/2021)
IAR
Minnesota
(11/17/2021)
RR
North Dakota
(8/16/2021)
IAR
North Dakota
(8/23/2021)
RR
Texas
(11/17/2021)
IAR
Texas
(11/17/2021)
IAR
Washington
(12/3/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/30/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/6/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/10/2019
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/8/2018
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

TI
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
27

SEC notice filing (44 States and Territories)

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

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 Accounts2,344
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.

Company Information

TCFG INVESTMENT ADVISORS, LLC

CRD#: 166606Laguna Niguel, CA 92677

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