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Thomas John Wolf

Investment Adviser Representative at TCFG INVESTMENT ADVISORS, LLC

Mission Viejo, CACRD #1323566Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
41 yrs
States Registered
26 states
Exams Passed
5

Professional summary

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

Thomas John Wolf has worked in the securities industry since 1985. They are registered to provide investment advisory services in 26 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 26 states
ArizonaCaliforniaColoradoFloridaGeorgiaIdahoIllinoisIndianaIowaMaineMichiganMinnesotaMissouriMontanaNevadaNew MexicoNew YorkNorth DakotaOhioOregonSouth DakotaTexasUtahVirginiaWashingtonWisconsin
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 10/18/1985
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/20/1985
Series 22
Direct Participation Programs Representative Examination
Passed 1/25/1985
Series 24
General Securities Principal Examination
Passed 4/21/1998

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
1/10/2014Mission Viejo, CA
TCFG INVESTMENT ADVISORS, LLC
11/1/201312/31/2013Laguna Niguel, CA
THE PLANNERS NETWORK, INC.
5/29/200110/30/2013Laguna Niguel, CA
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)
9/9/19992/5/2004Laguna Niguel, CA

Official records & sources

Data as of May 30, 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. Thomas John Wolf 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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