Our Staff has compiled our research into a database of FINRA Broker Disclosures for Tcfg Wealth Management, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Kenneth Alexander Shedleski | 2231290 | 3 | 12/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard James Roberts | 2145874 | 1 | 09/30/2021 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Carl Seem | 6585555 | 1 | 06/09/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kirk William Knollman | 2089445 | 3 | 02/16/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Alexander Shedleski | 2231290 | 3 | 01/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William George Knapp | 3132850 | 1 | 12/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kirk William Knollman | 2089445 | 3 | 11/15/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Eric Nichols | 2710703 | 5 | 07/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Nichols | 2710703 | 5 | 02/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Nichols | 2710703 | 5 | 02/01/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |