Nicholas B. Maddox

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CRD#: 4732456

Professional summary

Nicholas Brent Maddox was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Nicholas is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Nicholas had worked at 9 firms, which includes TCFG INVESTMENT ADVISORS LLC, TCFG WEALTH MANAGEMENT LLC, U.S. BANCORP INVESTMENTS INC., J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., WAMU INVESTMENTS INC., CITICORP INVESTMENT SERVICES, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 599

SEAL BEACH, CA

Past

November 30, 2004 - January 27, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

February 4, 2004 - August 20, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LOS ANGELES, CA

Past

January 27, 2004 - August 20, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 27, 2004 - August 20, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/2/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/16/2008

General Securities Principal Examination

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

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Nicholas B. Maddox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TCFG WEALTH MANAGEMENT, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

CITICORP INVESTMENT SERVICES

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TCFG INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/2/2004

SIE

Date: 8/1/2018

Series 7

Date: 1/23/2004

Series 24

Date: 1/16/2008

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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