Broker Check


The Certus Financial Group (TCFG) is a fully independent boutique broker dealer founded by Rick Roberts in 2012. The firm is largely advisor-owned and a solid network of professionally designated financial advisors across the United States. 

TCFG strives to empower advisor and client success through its three lines of business.

  • TCFG Wealth Management (including investment banking services)
  • TCFG Investment Advisors
  • TCFG Insurance Solutions

 For advisors considering partnering with a boutique-style broker dealer, TCFG offers various benefits.

  • Transition support: TCFG provides service, training, and resources to help advisors move client accounts in a timely and effective manner.
  • Advisor independence and availability of products/services: Advisors are viewed as entrepreneurs and have flexibility to choose products and services for clients without proprietary constraints. These include but not limited to mutual funds, securities, insurance, annuities, asset management programs, estate and financial planning, college savings planning, trust services, group retirement plans, alternative investments, exchange traded funds (ETF’s) available through agreements with leading financial companies.
  • Paperless systems: TCFG and advisors maintain paperless systems.
  • Technology: Through TCFG's partnerships with industry leading technology providers such as Envestnet, eMoney, MoneyGuidePro, Docupace, Redtail CRM, and others, advisors and their clients enjoy a broad and deep range of resources critical to successful financial planning and asset management.  
  • In-House Insurance Specialist: TCFG's Insurance Specialist is live and hands-on to listen, provide guidance and resources, and assist with seeing insurance applications through to issuance. 
  • Networking/Learning/Collaborating: TCFG plans quarterly firm-wide meetings to connect advisors and offer specialized training to enhance their practices.
  • Compliance support: TCFG’s compliance department works with advisors to ensure that they stay current and compliant with regulatory requirements.

If you are considering making a move and would like more information about TCFG and the the transition process, please contact us to schedule a conversation with Rick Roberts. 

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