Tfg — NEWPORT BEACH, CA
Marketing Brand4695 MacArthur Court, 10ᵗʰ Floor Newport Beach, CA 92660 – (949) 223-8100. For a comprehensive review of your personal situation, always consult with a tax or ... Operating under CETERA INVESTMENT ADVISERS LLC (CRD #105644).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Tfg,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is CETERA INVESTMENT ADVISERS LLC. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
CETERA INVESTMENT ADVISERS LLC
CRD 105644 · IA
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Tfg — it reflects the regulatory profile of CETERA INVESTMENT ADVISERS LLC.
What This Means
The firm behind this brand has average transparency. Some areas of their regulatory filings could be more detailed. Consider reviewing the full firm profile.
This places them in the 5th percentile of all scored firms.
This firm's disclosure quality is in the industry's middle range. The full firm profile shows exactly which filings could say more.
See full score breakdownRegulatory Context
Regulatory oversight is under CETERA INVESTMENT ADVISERS LLC
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
2 of 10,440 firm advisors use this brand
CETERA INVESTMENT ADVISERS LLC has 10,440 total registered advisors. 2 operate under the Tfg brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(2)
These advisors use the Tfg brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.