Mark A. Padgett

TCFG WEALTH MANAGEMENT

Miami Beach, FL 33140

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CRD#: 4831998

Professional summary

Mark Alan Padgett is a registered financial professional currently at TCFG WEALTH MANAGEMENT, LLC located in Miami Beach, Florida.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2004. Mark has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

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) - BD

Click below to view Mark Alan Padgett'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

July 30, 2013 - Present

TCFG WEALTH MANAGEMENT, LLC

Office #1: 5700 Collins Avenue, #cu-1, Miami Beach, FL 33140

CRD#: 164153

Miami Beach, FL

Past

August 27, 2009 - August 6, 2013

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

CRD#: 142619

THOMASVILLE, GA

Past

June 4, 2007 - June 12, 2008

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

NEW YORK, NY

Past

May 19, 2006 - September 6, 2006

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101

NEW YORK, NY

Past

April 27, 2005 - May 3, 2006

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

August 10, 2004 - April 26, 2005

THE BUCKINGHAM RESEARCH GROUP INCORPORATED

CRD#: 13233

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(8/6/2013)

Arizona
(11/19/2014)

California
(7/30/2013)

Florida
(7/30/2013)

Georgia
(7/30/2013)

Kentucky
(12/5/2024)

Louisiana
(1/5/2021)

Maryland
(2/12/2020)

New York
(7/30/2013)

North Carolina
(8/6/2013)

Oklahoma
(4/25/2017)

Rhode Island
(3/1/2017)

Texas
(7/30/2013)

Virginia
(8/6/2013)

Exams

State Security Law Exam

Series 63

Date: 8/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 3/31/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 12/23/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 8/9/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/11/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153 / SEC#: , 8-69089

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677

Mailing Address

28202 Cabot Road, Suite 300, Laguna Niguel, CA 92677

Phone number

(949) 365-5830

Established

Delaware since 04/10/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (48 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CERTUS FINANCIAL GROUP, LLC	MANAGING MEMBER
ROBERTS, RICHARD JAMES	PRESIDENT / CEO	2145874
TESLA, DEETRA MARIE	CCO	2567278
THORNTON, STEVEN LEE	FINOP / CFO	4496384

Disclosures

Civil Event

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

Mark A. Padgett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Alan Padgett's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC

SUSQUEHANNA FINANCIAL GROUP, LLLP

NATIXIS SECURITIES AMERICAS LLC

KEYBANC CAPITAL MARKETS INC.

THE BUCKINGHAM RESEARCH GROUP INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/23/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 86

Date: 3/31/2006

Series 87

Date: 12/23/2004

Series 7

Date: 8/9/2004

Series 24

Date: 3/11/2014

FINRA

Current Firm

TCFG WEALTH MANAGEMENT, LLC

Contact information

FINRA licenses (48 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TCFG WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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