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Tae Pom Ho

Investment Adviser Representative at TCFG INVESTMENT ADVISORS, LLC

Laguna Niguel, CACRD #2857540Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
29 yrs
States Registered
2 states
Exams Passed
11

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/30/1998
Series 63
Uniform Securities Agent State Law Examination
Passed 3/10/1997
Series 52
Municipal Securities Representative Examination
Passed 9/25/2025
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/4/1997
Series 14
Compliance Officer Examination
Passed 1/2/2023
Series 27
Financial and Operations Principal Examination
Passed 2/26/2001
Series 4
Registered Options Principal Examination
Passed 6/30/1998
Series 53
Municipal Securities Principal Examination
Passed 4/6/1998
Series 24
General Securities Principal Examination
Passed 4/9/1997

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
7/20/2026Laguna Niguel, CA
TCFG WEALTH MANAGEMENT, LLCCurrent
3/4/2026Thousand Oaks, CA
GOLD COAST SECURITIES, INC.Current
1/23/2003Thousand Oaks, CA
GOLD COAST SECURITIES, INC.
5/31/20012/23/2026Thousand Oaks, CA
NATIONAL PLANNING CORPORATION
8/20/19996/18/2001Los Angeles, CA
SELECT CAPITAL CORPORATION
3/5/19977/9/1999Sacramento, CA

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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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. Tae Pom Ho 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.

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Tae Pom Ho - Financial Advisor in Laguna Niguel, CA | AdvisorFinder