Craig A. Isaacs
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Craig Alan Isaacs was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1986. Craig had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2017 - July 27, 2023
ASHTON THOMAS PRIVATE WEALTH
January 1, 2015 - November 14, 2016
NEXUS ADVISOR SOLUTIONS, INC.
August 6, 2010 - November 21, 2012
NEXUS WEALTH ADVISORS, LLC
May 20, 2003 - April 29, 2015
GENEOS WEALTH MANAGEMENT, INC.
May 14, 2003 - April 29, 2015
GENEOS WEALTH MANAGEMENT, INC.
March 27, 2000 - May 28, 2003
CETERA ADVISORS LLC
September 8, 1999 - May 28, 2003
CETERA ADVISORS LLC
March 20, 1999 - September 2, 1999
SECURITIES AMERICA, INC.
July 25, 1997 - December 18, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 25, 1997 - December 18, 1998
OSAIC FA, INC.
May 22, 1989 - July 25, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 19, 1986 - June 21, 1989
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
ASHTON THOMAS PRIVATE WEALTH
CRD#: 153902 / SEC#: 801-71512
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ASHTON THOMAS PRIVATE WEALTH
CRD#: 153902 / SEC#: 801-71512
Contact information
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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