Michael B. Humphrey
Professional summary
Michael Brian Humphrey, who also goes by Michael Humphrey, is a registered financial professional currently at TCFG WEALTH MANAGEMENT, LLC located in Laguna Niguel, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2013. Michael has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 99 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Brian Humphrey's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2020 - Present
TCFG WEALTH MANAGEMENT, LLC
Office #1: 28202 Cabot Road Suite 305, Laguna Niguel, CA 92677May 1, 2019 - May 13, 2019
SECURITIES SERVICE NETWORK, LLC
November 25, 2013 - December 15, 2017
D.A. DAVIDSON & CO.
November 25, 2013 - December 15, 2017
D.A. DAVIDSON & CO.
November 8, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
March 25, 2013 - November 4, 2013
CROWELL, WEEDON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2020)
Exams
FINRA
Current Firm
TCFG WEALTH MANAGEMENT, LLC
CRD#: 164153 / SEC#: , 8-69089
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Civil Event | 1 |
Red Flags
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