TFG INVESTMENT MANAGEMENT, LLC
Legal name: THE FINANCIAL GROUP
CRD #169966 SEC #801-79132 DIAMOND BAR, CA (909) 860-7527
SEC Registered
Total AUM
$0
Discretionary
$0
Employees
1
Clients
0
Accounts
0
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 21, 2014
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROOKS, ROBERT, ALAN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| BROOKS, ROBERT, ALAN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| BROOKS, ROBERT, ALAN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| BROOKS, ROBERT, ALAN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| BROOKS, ROBERT, ALAN | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
May 21, 2014 REGISTERED
Notice Filings (1)
CA
Address
21700 COPLEY DRIVE - SUITE 160DIAMOND BAR, CA 91765
United States
Phone: (909) 860-7527