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CL

Charles A. Laverty

Some features on this profile are disabled
CRD#: 4875386
CL

Professional summary

Charles Acheson Laverty was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Charles had worked at 7 firms, which includes TCFG INVESTMENT ADVISORS LLC, TCFG WEALTH MANAGEMENT LLC, CALTON & ASSOCIATES INC., OPPENHEIMER & CO. INC., UBS FINANCIAL SERVICES INC., MORGAN STANLEY & CO. LLC, CITIGROUP GLOBAL MARKETS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles A Laverty | Charles A. Laverty | Laverty A. Laverty

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®
None

Experience

Past

March 5, 2015 - March 18, 2016

TCFG INVESTMENT ADVISORS, LLC

RIA
CRD#: 166606
NEWPORT BEACH, CA
Past

February 19, 2015 - October 15, 2015

TCFG WEALTH MANAGEMENT, LLC

BD
CRD#: 164153
Newport Beach, CA
Past

March 17, 2014 - February 26, 2015

CALTON & ASSOCIATES, INC.

RIA
CRD#: 20999
PALM DESERT, CA
Past

March 17, 2014 - February 26, 2015

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
PALM DESERT, CA
Past

November 8, 2011 - March 17, 2014

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
NEWPORT BEACH, CA
Past

November 4, 2011 - March 17, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEWPORT BEACH, CA
Past

May 17, 2010 - November 22, 2011

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
INDIAN WELLS, CA
Past

May 13, 2010 - November 22, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
INDIAN WELLS, CA
Past

January 16, 2008 - May 13, 2010

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
NEWPORT BEACH, CA
Past

January 16, 2008 - May 13, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEWPORT BEACH, CA
Past

June 8, 2007 - January 15, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
IRVINE, CA
Past

June 8, 2007 - January 15, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
IRVINE, CA
Past

June 6, 2005 - June 21, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEWPORT BEACH, CA
Past

March 23, 2005 - June 21, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEWPORT BEACH, 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".
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/2/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/20/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/15/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/3/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/10/2005
General Securities Representative Examination

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#: 166606

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