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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Maria Regina T Cruz

Advisor at TLG ADVISORS, INC.

Topeka, KS | SUMMIT, NJ

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Search this name across graphsid dfx:ria:18a2850d-32e2-7196-e539-cfee6e5d618c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TLG ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 10, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 10, 2008
First registration: Mar 11, 2008
Dual registered: yes, broker-dealer
Other names: MARIA RIA TORRES|REGINA TORRES CRUZ|RIA TORRES CRUZ|REGINA TORRES CRUZ|RIA T CRUZ|MARIA REGINA T CRUZ
IAPD individual key: 4502789

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TLG ADVISORS, INC.	Bd affiliated wealth	Aug 19, 2022	n/a	yes	SUMMIT, NJ\|Topeka, KS	Current employment
HARBINGER ASSET MANAGEMENT, LLC	Former SEC adviser	Mar 19, 2012	Apr 20, 2016	no	RIVERSIDE, CA\|COSTA MESA, CA\|Corona, CA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Apr 5, 2011	Nov 10, 2011	no	LOS ANGELES, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Oct 28, 2009	Jul 21, 2010	no	WESTMINSTER, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	May 27, 2009	no	IRVINE, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Mar 11, 2008	May 2, 2009	no	IRVINE, CA\|IRVINE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HARBINGER ASSET MANAGEMENT, LLC	TLG ADVISORS, INC.	Apr 20, 2016	Aug 19, 2022	2,312	Firm change after gap	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	HARBINGER ASSET MANAGEMENT, LLC	Nov 10, 2011	Mar 19, 2012	130	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Jul 21, 2010	Apr 5, 2011	258	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ TLG ADVISORS, INC.Registered adviserregistration: current employment
Aug 19, 2022 to presentfactForm ADV
→ HARBINGER ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 19, 2012 to Apr 20, 2016factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Apr 5, 2011 to Nov 10, 2011factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Oct 28, 2009 to Jul 21, 2010factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Mar 11, 2008 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.