EO
Erik Oros
TLG ADVISORS
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 5956077
EO
Professional summary
Erik Oros, CFA, who also goes by Erik Benjamin Oros, Erik Oros, is a registered financial advisor currently at TLG ADVISORS, INC. located in Los Angeles, California and THE LEADERS GROUP, INC. located in Los Angeles, California.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Erik has worked at 7 firms and has passed the Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erik Benjamin Oros | Erik Oros
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.) GIDEON - 1/1/2019 - 2049 Century Park E, Suite 1940, Los Angeles, CA 90067 - Chief Investment Officer, Sales, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) TLG ADVISORS INC - 7/15/21 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 0 hrs/mo; 0 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Erik Oros'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®
Experience
Current
July 15, 2021 - Present
TLG ADVISORS, INC.
Office #1: 2049 Century Park E, Suite 1940, Los Angeles, CA 90067RIA
CRD#: 111052
Los Angeles, CA
Current
July 15, 2021 - Present
THE LEADERS GROUP, INC.
Office #1: 2049 Century Park E, Suite 1940, Los Angeles, CA 90067BD
CRD#: 37157
Los Angeles, CA
Past
February 27, 2020 - July 19, 2021
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
Santa Monica, CA
Past
June 13, 2013 - June 1, 2015
SALIENT CAPITAL ADVISORS, LLC
RIA
CRD#: 153914
HOUSTON, TX
Past
March 18, 2013 - June 1, 2015
SALIENT ADVISORS, L.P.
RIA
CRD#: 122833
HOUSTON, TX
Past
March 18, 2013 - June 1, 2015
SALIENT CAPITAL L.P.
BD
CRD#: 147912
HOUSTON, TX
Past
October 26, 2011 - March 25, 2013
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
August 25, 2011 - March 25, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(7/15/2021)
IAR
California(7/15/2021)
RR
Connecticut(7/15/2021)
RR
District of Columbia(7/15/2021)
RR
Florida(7/15/2021)
RR
Illinois(7/15/2021)
RR
Louisiana(7/15/2021)
RR
Maine(7/15/2021)
RR
Maryland(7/15/2021)
RR
New Jersey(7/15/2021)
RR
New York(7/15/2021)
RR
Pennsylvania(7/15/2021)
RR
Texas(7/15/2021)
RR
Wisconsin(7/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/26/2020
General Securities Representative ExaminationGeneral Industry/Product 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
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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
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.
