Muni Schweig

TCFG WEALTH MANAGEMENT

LAGUNA NIGUEL, CA 92677

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CRD#: 5139053

Professional summary

Muni Schweig is a registered financial professional currently at TCFG WEALTH MANAGEMENT, LLC located in Laguna Niguel, California.

Muni is registered as a RR (Registered Representative) and started their career in finance in 2006. Muni has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 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 Muni Schweig'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 8, 2021 - Present

TCFG WEALTH MANAGEMENT, LLC

Office #1: 28202 Cabot Road, Suite 305, Laguna Niguel, CA 92677

CRD#: 164153

LAGUNA NIGUEL, CA

Past

March 29, 2021 - June 1, 2021

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

BERKELEY, CA

Past

March 29, 2021 - June 1, 2021

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

BERKELEY, CA

Past

April 4, 2016 - March 8, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

San Francisco, CA

Past

April 1, 2016 - March 8, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

San Francisco, CA

Past

July 12, 2010 - April 29, 2016

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

SAN FRANCISCO, CA

Past

December 10, 2008 - April 29, 2016

HILLTOP SECURITIES INC.

CRD#: 6220

SAN FRANCISCO, CA

Past

October 18, 2006 - December 31, 2008

M.L. STERN & CO., LLC.

CRD#: 8327

SAN FRANCISCO, CA

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

California
(7/8/2021)

Colorado
(7/8/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/16/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/2006

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Muni Schweig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Muni Schweig's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

M.L. STERN & CO., LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/2009

Series 63

Date: 12/4/2006

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/17/2006

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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