Unclaimed Profile

Todd Alan Sweet

TCFG INVESTMENT ADVISORS, LLC·LAGUNA NIGUEL, California

SIE, Series 3, Series 7, Series 7TO, Series 34, Series 66Clean record11 years registeredTCFG INVESTMENT ADVISORS, LLC

28202 CABOT RD, LAGUNA NIGUEL, CA 92677CRD# 4549871Firm CRD# 166606

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Todd Alan Sweet · LAGUNA NIGUEL, CA

Registration

CRD #4549871 · TCFG INVESTMENT ADVISORS, LLC · 11 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: TCFG INVESTMENT ADVISORS, LLC

TRADEWISE ADVISORS, INC.

Aug 2018 – May 2021

CHICAGO, IL

TD AMERITRADE, INC.

Apr 2015 – Jul 2021

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 7TO

Series 34

Series 66

Registration record

First registered · April 27, 2015

Years registered · 11

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

TCFG INVESTMENT ADVISORS, LLC

CRD 166606 · SEC 801-77596

AUM

$507M

Regulatory assets under management

Employees

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 Todd Alan Sweet offer?

Todd Alan Sweet specializes in Financial Planning, Investment Management.

What are Todd Alan Sweet's credentials?

Todd Alan Sweet is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Todd Alan Sweet located?

Todd Alan Sweet is based in LAGUNA NIGUEL, California, last registered with TCFG INVESTMENT ADVISORS, LLC.

How does Todd Alan Sweet charge for services?

Todd Alan Sweet'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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