MC
Maria Regina T. Cruz
TLG ADVISORS
Topeka, KS 66604
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CRD#: 4502789
MC
Professional summary
Maria Regina T Cruz, who also goes by Maria Regina T Cruz, Regina Torres Cruz, Ria T Cruz, Ria Torres Cruz, Maria Ria Torres, is a registered financial advisor currently at TLG ADVISORS, INC. located in Topeka, Kansas and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Maria Regina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Maria Regina has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Maria Regina T Cruz | Regina Torres Cruz | Ria T Cruz | Ria Torres Cruz | Maria Ria Torres
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.) MS. CRUZ ALSO SERVES AS DIRECTOR OF SUITABILITY AND COMPLIANCE FOR MAGELLAN FINANCIAL - 10/1/2011-PRESENT - 7524 SUMMER DAY DRIVE, CORONA, CA 92883 - NON INVESTMENT RELATED; SHE SPENDS 90% OF HER TIME ON THIS ACTIVITY.
2.) MAGELLAN FINANCIAL & INSURANCE SERVICES - 12/1/2015 - 1315 SW Arrowhead Road, Topeka, KS 66604- VP COMPLIANCE AND SUITABILITY, INSURANCE MARKETING COMPLIANCE AND ANNUITY FIELD SUITABILITY, COMPLIANCE, REGULATORY, NOT INVESTMENT RELATED; 120 HRS/MO; 6-8 HRS/DURING TRADING DAY.
3.) TLG ADVISORS, INC - SINCE 06/05/2018 - 26 W DRY CREEK CIRCLE, SUITE 800, LITTLETON, CO 80120 - INVESTMENT RELATED - IAR REPRESENTATIVE - DEVOTE APPROX: 5-10 HRS/MO
CRS (Client Relationship Summary) - RIA
Click below to view Maria Regina T Cruz'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
August 19, 2022 - Present
TLG ADVISORS, INC.
Office #1: 1315 Sw Arrowhead Road, Topeka, KS 66604RIA
CRD#: 111052
Topeka, KS
Current
April 26, 2018 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
Summit, NJ
Past
February 26, 2019 - May 26, 2022
TLG ADVISORS, INC.
RIA
CRD#: 111052
TOPEKA, KS
Past
June 6, 2018 - February 11, 2019
TLG ADVISORS, INC.
RIA
CRD#: 111052
TOPEKA, KS
Past
March 19, 2012 - April 20, 2016
HARBINGER ASSET MANAGEMENT, LLC
RIA
CRD#: 146811
Corona, CA
Past
December 1, 2011 - December 31, 2016
TRIAD ADVISORS LLC
BD
CRD#: 25803
PORTAGE, MI
Past
April 5, 2011 - November 10, 2011
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
LOS ANGELES, CA
Past
April 5, 2011 - November 10, 2011
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
November 17, 2010 - March 28, 2011
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
October 28, 2009 - July 21, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WESTMINSTER, CA
Past
October 28, 2009 - July 21, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WESTMINSTER, CA
Past
May 2, 2009 - May 27, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
IRVINE, CA
Past
May 2, 2009 - May 27, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
IRVINE, CA
Past
March 11, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
IRVINE, CA
Past
December 12, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, 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".
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
California(4/27/2018)
IAR
California(8/19/2022)
IAR
Kansas(9/1/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TLG ADVISORS, INC.
CRD#: 111052Topeka, KS 66604TRUST BUT VERIFY
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