AdFi
EN

Eric Nichols

Investment Adviser Representative at TCFG INVESTMENT ADVISORS, LLC

Redondo Beach, CACRD #2710703Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
29 yrs
States Registered
12 states
Exams Passed
8

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Eric Nichols has worked in the securities industry since 1997. They are registered to provide investment advisory services in 12 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 12 states
ArizonaCaliforniaColoradoLouisianaMontanaNevadaNew MexicoNorth CarolinaOhioSouth DakotaTexasVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/20/2000
Series 63
Uniform Securities Agent State Law Examination
Passed 5/13/1996
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/30/1996
Series 52
Municipal Securities Representative Examination
Passed 5/3/1996
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 9/28/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 to $249,9992.00%
$250,000 to $499,9991.75%
$500,000 to $1,000,0001.50%
$1,000,000 and up1.00%
Source

TCFG Investment Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

TCFG INVESTMENT ADVISORS, LLCCurrent
1/21/2020Redondo Beach, CA
TCFG WEALTH MANAGEMENT, LLCCurrent
1/14/2020Redondo Beach, CA
MORGAN STANLEY
6/1/20093/13/2019Rolling Hills, CA
CITIGROUP GLOBAL MARKETS INC.
3/12/20016/1/2009Rolling Hills, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at TCFG INVESTMENT ADVISORS, LLC

Showing 12 of 31 in the directory

View TCFG INVESTMENT ADVISORS, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Eric Nichols has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Find the right advisor for you

Take the free 3-minute assessment to get matched with advisors who fit your goals.

Get Matched
Eric Nichols - Financial Advisor in Redondo Beach, CA | AdvisorFinder