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Richard James Roberts

TCFG INVESTMENT ADVISORS, LLC·LAGUNA NIGUEL, California
SIE, Series 3, Series 4, Series 7, Series 7TO, Series 24, Series 52TO, Series 53, Series 63, Series 99TOTCFG INVESTMENT ADVISORS, LLC
28202 CABOT RD, LAGUNA NIGUEL, CA 92677CRD# 2145874Firm CRD# 166606

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Richard James Roberts · LAGUNA NIGUEL, CA
Registration
CRD #2145874 · TCFG INVESTMENT ADVISORS, LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 3
Series 4
Series 7
Series 7TO
Series 24
Series 52TO
Series 53
Series 63
Series 99TO
02

Disclosure History

Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

03

Firm Overview

Firm
TCFG INVESTMENT ADVISORS, LLC
CRD 166606 · SEC 801-77596
AUM
$507M
Regulatory assets under management
Employees
25
2,441 client accounts
Services offered by TCFG INVESTMENT ADVISORS, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at TCFG INVESTMENT ADVISORS, LLC →
Introduction

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Frequently Asked Questions

What services does Richard James Roberts offer?
Richard James Roberts specializes in Financial Planning, Investment Management. Contact their office in LAGUNA NIGUEL, California for a consultation.
What are Richard James Roberts's credentials?
Richard James Roberts is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Richard James Roberts located?
Richard James Roberts is based in LAGUNA NIGUEL, California, working with TCFG INVESTMENT ADVISORS, LLC. Their office serves clients in the LAGUNA NIGUEL metropolitan area and surrounding communities.
How does Richard James Roberts charge for services?
Richard James Roberts's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is TCFG INVESTMENT ADVISORS, LLC?
TCFG INVESTMENT ADVISORS, LLC has approximately 25 employees and manages $507M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Deetra Marie Tesla
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Todd Alan Sweet
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