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Eric Nichols

Tcfg Investment Advisors, LLC
29 Years of Experience
Redondo Beach, CA
5 DisclosuresBrokerSells Insurance
View SEC Summary
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Eric Nichols is a registered investment advisor at Tcfg Investment Advisors, LLC, based in Redondo Beach, CA, with 29 years of industry experience. Eric is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 3 more. Their firm serves 2,334 clients with $640M in assets under management.

Tcfg Investment Advisors, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
30 advisors
Number of Clients
2,334 clients
Average Client Portfolio
$274K average
Assets Under Management
$639.4M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K1.75%
$500K - $1.0M1.50%
$1M+1.00%

Each advisor sets their own independent schedule, up to a maximum of 2.25%. Fees are negotiable based on complexity, assets, and other factors.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Redondo Beach, CA

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2019
Final
Employment Separation After Allegations
February 2019
Customer Dispute
February 2019
Settled
Customer Dispute
September 2017
Settled
Customer Dispute
February 2017
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Eric is an RIA/IA Representative for TCFG Investment Advisors, LLC, dedicating about a quarter of his time. He is also an agent for TCFG Insurance Solutions, LLC, spending a few hours per week.

Employment History
Current Registrations
Tcfg Investment Advisors, LLC
January 2020 - Present · 6 yrs 9 mos
Tcfg Wealth Management, LLCBroker
January 2020 - Present · 6 yrs 9 mos
Tcfg Wealth Management, LLC
January 2020 - Present · 6 yrs 9 mos
Previous Registrations
Morgan Stanley
June 2009 - March 2019 · 9 yrs 9 mos
Morgan StanleyBroker
June 2009 - March 2019 · 9 yrs 9 mos
Citigroup Global Markets INC.
March 2001 - June 2009 · 8 yrs 3 mos
Citigroup Global Markets INC.Broker
March 2001 - June 2009 · 8 yrs 3 mos
H&r Block Financial Advisors, INC.Broker
May 1996 - March 2001 · 4 yrs 10 mos
State Registrations14 states
AZCACOFLLAMTNCNMNVOHORSDTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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