Paul J. Kruger

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CRD#: 2181160

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.

Paul Jacob Kruger was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1991. Paul had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

INSURANCE SALES WITH KAFL, Approximately 2-3 hours a month. Address: 178 Clizbe Avenue, Amsterdam, NY 12010, Doing business since 2006. Type of business in fixed Annuities & Insurance Yes Income is derived form this business

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

September 6, 2021 - July 29, 2025

ASHTON THOMAS SECURITIES, LLC

RIA

CRD#: 16629

Fonda, NY

Past

June 13, 2006 - July 29, 2025

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629

ROCHESTER, NY

Past

January 28, 2005 - June 19, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

AMSTERDAM, NY

Past

May 28, 2002 - February 8, 2005

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

August 24, 1995 - May 2, 2002

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

June 29, 1993 - September 1, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

November 11, 1991 - May 18, 1993

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

November 11, 1991 - May 18, 1993

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629 / SEC#: 801-69225, 8-34261

RIA

Registered Investment Advisory firm - SEC (6/11/2008 Approved)

Florida

Registered Investment Advisory firm - SEC (6/18/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

IAR

Series 65

Date: 8/30/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/2/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/12/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629 / SEC#: 801-69225, 8-34261

RIA

Registered Investment Advisory firm - SEC (6/11/2008 Approved)

Florida

Registered Investment Advisory firm - SEC (6/18/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

200 Canal View Blvd. Suite 204, Rochester, NY 14623

Mailing Address

200 Canal View Blvd. Ste. 204, Rochester, NY 14623

Phone number

(585) 424-1234

Established

Delaware since 01/08/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (43 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (8/15/2025)

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
EXPLORER INVESTMENT HOLDINGS, LLC	MEMBER
BRITT, TERRENCE PATRICK	VICE PRESIDENT / CHIEF OPERATING OFFICER	2165686
JOHNSON, KIMBERLY	CHIEF COMPLIANCE OFFICER	5378831
LANZISERA, JOSEPH ANTHONY	PRESIDENT AND CHIEF FINANCIAL OFFICER	1052572

Regulatory assets under management

Total Number of Accounts	2,599
AUM (Assets Under Management)	$ 1,717,957,312

Disclosures

Regulatory Event	4
Arbitration	2

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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Firm Stability Insights

Paul J. Kruger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASHTON THOMAS SECURITIES, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

ESSEX NATIONAL SECURITIES, LLC

HSBC BROKERAGE (USA) INC.

PRUCO SECURITIES, LLC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ASHTON THOMAS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2007

Series 63

Date: 11/2/1991

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1996

Series 6

Date: 11/2/1991

Series 26

Date: 2/12/1999

Current Firm

ASHTON THOMAS SECURITIES, LLC

Contact information

SEC notice filing (43 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ASHTON THOMAS SECURITIES, LLC

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