Thomas David Cronen | Financial Professional

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.

Thomas David Cronen was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 27, 2017 - June 8, 2018

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

Seabrook Island, SC

Past

July 11, 2017 - June 8, 2018

REALTA EQUITIES, INC.

BD

CRD#: 23769

Seabrook Island, SC

Past

August 3, 2012 - November 18, 2016

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

SEABROOK ISLAND, SC

Past

August 3, 2012 - November 18, 2016

SUMMIT BROKERAGE SERVICES, INC.

BD

CRD#: 34643

SEABROOK ISLAND, SC

Past

April 1, 2011 - August 2, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

SOUTHINGTON, CT

Past

April 1, 2011 - August 2, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD

CRD#: 11025

SOUTHINGTON, CT

Past

June 1, 2009 - April 11, 2011

MORGAN STANLEY

RIA

CRD#: 149777

HARTFORD, CT

Past

June 1, 2009 - April 11, 2011

MORGAN STANLEY

BD

CRD#: 149777

HARTFORD, CT

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HARTFORD, CT

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD

CRD#: 8209

HARTFORD, CT

Past

June 16, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HARTFORD, CT

Past

June 16, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD

CRD#: 7556

HARTFORD, CT

Past

March 19, 2001 - June 28, 2006

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

GREENWICH, CT

Past

January 29, 2001 - June 28, 2006

DEUTSCHE BANK SECURITIES INC.

BD

CRD#: 2525

NEW YORK, NY

Past

July 21, 1995 - January 30, 2001

ADVEST, INC.

BD

CRD#: 10

HARTFORD, CT

Past

November 10, 1986 - July 25, 1995

SHAWMUT BROKERAGE, INC.

BD

CRD#: 17081

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

Series 63

Date: 12/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 6/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 9/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 53

Date: 6/23/1992

Municipal Securities Principal Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Thomas D. Cronen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA EQUITIES, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

ADVEST, INC.

SHAWMUT BROKERAGE, INC.

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/1994

SIE

Date: 6/8/2018

Series 7

Date: 9/20/1986

Series 53

Date: 6/23/1992

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

TRUST BUT VERIFY

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