CT
Craig W. Tompkins
CSP FINANCIAL GROUP LLC
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 1729549
CT
Professional summary
Craig Walter Tompkins, who also goes by Craig W Tompkins, is a registered financial advisor currently at CSP FINANCIAL GROUP LLC located in Scottsdale, Arizona.
Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Craig has worked at 8 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig W Tompkins
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.
I own and operate Coalition Insurance Services a life and health insurance business in California and earn approximately $200,000 a year from this business
CRS (Client Relationship Summary) - RIA
Click below to view Craig Walter Tompkins'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
September 16, 2022 - Present
CSP FINANCIAL GROUP LLC
Office #1: 14300 North Northsight Blvd Suite 120, Scottsdale, AZ 85260RIA
CRD#: 310819
Scottsdale, AZ
Past
March 10, 2020 - September 2, 2022
CRAIG TOMPKINS RIA
RIA
CRD#: 298647
SAN JOSE, CA
Past
April 17, 2019 - January 15, 2020
RICE FINANCIAL CONSULTING, INC.
RIA
CRD#: 170346
LOS GATOS, CA
Past
September 21, 2018 - April 17, 2019
CRAIG TOMPKINS RIA
RIA
CRD#: 298647
SAN JOSE, CA
Past
April 29, 2005 - December 19, 2005
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past
December 22, 1997 - June 14, 2001
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
September 20, 1988 - October 25, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
September 14, 1988 - December 31, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Past
September 22, 1987 - March 4, 1988
SHERWOOD CAPITAL, INC.
BD
CRD#: 10474
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".
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 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.Highlighted states indicate IAR registrations
IAR
California(9/16/2022)
IAR
Texas(7/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14300 North Northsight Blvd Suite 120, Scottsdale, AZ 85260
Mailing Address
Phone number
(480) 600-9626
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 186 |
| AUM (Assets Under Management) | $ 30,345,692 |
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.
