TC
Timothy R. Croak
CROAK CAPITAL
Toledo, OH 43604
Some features on this profile are disabled
CRD#: 1673702
TC
Professional summary
Timothy Robert Croak, who also goes by Tim Robert Croak, is a registered financial advisor currently at CROAK CAPITAL located in Toledo, Ohio and PURSHE KAPLAN STERLING INVESTMENTS located in Toledo, Ohio.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Timothy has worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 6TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Robert Croak
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.
1) CROAK ASSET MANAGEMENT, LLC d/b/a Croak Capital. Investment related. Located at 432 N Superior Street, Toledo, Ohio 43604. Nature - RIA. Position - President. Start - 07/2018. 150 hours per month, 150 hours during trading hours. Duties - Supervising all RIA activities. 2) CAM INSURANCE, CAM TAX SERVICE, CROAK REAL ESTATE DEVELOPMENT. Not investment related. Located at 432 N Superior Street, Toledo, Ohio 43604. Nature - life insurance brokerage, tax preparation and office building management. Position - owner. Start date - 2019, 2021, 2019. 5 hours per month, 0 during trading hours. Duties - all business support the financial services practice. 3) PKS Financial. Investment Related. Located at 80 State Street, Albany NY 12211. Nature - Fixed Insurance and Annuity Business. Position - Agent. Start 07/2021. 5 hours per month, 5 hours during trading hours. Duties - sell Fixed Insurance and Annuities. 4)Fixed Insurance - Investment Related. Located at 432 N Superior Street, Toledo, Ohio 43604. Nature - Fixed Insurance and Annuity Business. Position - Agent. Start 07/2021. 5 hours per month, 5 hours during trading hours. Duties - sell Fixed Insurance and Annuities.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Robert Croak's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 25, 2018 - Present
CROAK CAPITAL
Office #1: 432 N Superior St., Toledo, OH 43604RIA
CRD#: 297666
Toledo, OH
Current
July 16, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 432 N Superior Street, Toledo, OH 43604BD
CRD#: 35747
Toledo, OH
Past
May 31, 2005 - October 1, 2018
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Toledo, OH
Past
February 1, 2005 - August 5, 2021
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
Toledo, OH
Past
July 15, 2002 - February 18, 2005
NEW ENGLAND SECURITIES
RIA
CRD#: 615
TOLEDO, OH
Past
September 30, 1999 - February 18, 2005
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
November 19, 1989 - September 20, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
June 23, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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".
CC
CROAK CAPITAL
CROAK ASSET MANAGEMENT | CROAK CAPITAL | CROAK ASSET MANAGEMENT, LLC
CRD#: 297666 / SEC#: 801-126464
RIA
Registered Investment Advisory firm - (8/31/2022 Approved)Illinois
Registered Investment Advisory firm - (9/13/2022 Terminated)Indiana
Registered Investment Advisory firm - (9/13/2022 Terminated)Louisiana
Registered Investment Advisory firm - (9/14/2022 Terminated)Michigan
Registered Investment Advisory firm - (9/20/2022 Terminated)Ohio
Registered Investment Advisory firm - (9/13/2022 Terminated)Texas
Registered Investment Advisory firm - (9/13/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/16/2021)
RR
Florida(7/19/2022)
RR
Iowa(10/4/2022)
RR
Maryland(12/8/2023)
RR
Michigan(7/16/2021)
RR
North Carolina(9/16/2021)
IAR
Ohio(7/25/2018)
RR
Ohio(7/21/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CC
CROAK CAPITAL
CROAK ASSET MANAGEMENT | CROAK CAPITAL | CROAK ASSET MANAGEMENT, LLC
CRD#: 297666 / SEC#: 801-126464
RIA
Registered Investment Advisory firm - (8/31/2022 Approved)Illinois
Registered Investment Advisory firm - (9/13/2022 Terminated)Indiana
Registered Investment Advisory firm - (9/13/2022 Terminated)Louisiana
Registered Investment Advisory firm - (9/14/2022 Terminated)Michigan
Registered Investment Advisory firm - (9/20/2022 Terminated)Ohio
Registered Investment Advisory firm - (9/13/2022 Terminated)Texas
Registered Investment Advisory firm - (9/13/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
432 N Superior St., Toledo, OH 43604
Mailing Address
Phone number
(419) 464-7000
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,027 |
| AUM (Assets Under Management) | $ 300,230,116 |
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.
Company Information
CROAK CAPITAL
CRD#: 297666Toledo, OH 43604TRUST BUT VERIFY
Monitor Timothy Croak
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
