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Thomas Krueger

Thomas Krueger

SANTA CRUZ WEALTH MANAGEMENT
Westlake Village, CA 91362
Some features on this profile are disabled
CRD#: 2899998
Thomas Krueger

Professional summary

Thomas Krueger, who also goes by Thomas Bradford Krueger, Tom Krueger, is a registered financial advisor currently at SANTA CRUZ WEALTH MANAGEMENT INC. located in Westlake Village, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 55, Series 7, Series 6, Series 27, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Bradford Krueger | Tom Krueger

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) - RIA

Click below to view Thomas Krueger'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®
None

Experience

Current

June 20, 2023 - Present

SANTA CRUZ WEALTH MANAGEMENT INC.

Office #1: 30721 Russell Ranch Road Suite 140, Westlake Village, CA 91362
RIA
CRD#: 325737
Westlake Village, CA
Past

September 30, 2019 - June 19, 2023

EDWARD JONES

RIA
CRD#: 250
WESTLAKE VILLAGE, CA
Past

September 27, 2019 - June 19, 2023

EDWARD JONES

BD
CRD#: 250
WESTLAKE VILLAGE, CA
Past

April 5, 2017 - September 17, 2019

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
Calabasas, CA
Past

April 5, 2017 - September 17, 2019

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
CALABASAS, CA
Past

January 18, 2017 - February 3, 2017

FINANCIAL WEST GROUP

BD
CRD#: 16668
WESTLAKE VILLAGE, CA
Past

January 17, 2017 - April 5, 2017

VFG ADVISORS, INC.

RIA
CRD#: 150370
CULVER CITY, CA
Past

February 11, 2016 - February 29, 2016

MUTUAL SECURITIES, INC.

BD
CRD#: 13092
TUCSON, AZ
Past

January 27, 2016 - September 8, 2016

BLUEPRINT CAPITAL MARKETS

BD
CRD#: 44323
NEWARK, NJ
Past

June 19, 2014 - March 11, 2016

FINANCIAL WEST GROUP

RIA
CRD#: 16668
WESTLAKE VILLAGE, CA
Past

June 18, 2014 - December 31, 2016

FINANCIAL WEST GROUP

BD
CRD#: 16668
WESTLAKE VILLAGE, CA
Past

November 18, 2013 - March 31, 2017

VFG SECURITIES, INC.

BD
CRD#: 15121
CULVER CITY, CA
Past

May 17, 2013 - April 5, 2017

ALYSSUM BENEFITS LLC

RIA
CRD#: 167245
CALABASAS, CA
Past

April 19, 2012 - March 14, 2013

HUB INTERNATIONAL INVESTMENT SERVICES INC.

RIA
CRD#: 150252
WESTLAKE VILLAGE, CA
Past

October 25, 2011 - March 14, 2013

HUB INTERNATIONAL INVESTMENT SERVICES INC.

BD
CRD#: 150252
WESTLAKE VILLAGE, CA
Past

February 23, 2010 - October 24, 2011

FINANCIAL WEST GROUP

RIA
CRD#: 16668
WESTLAKE VILLAGE, CA
Past

August 31, 2009 - October 24, 2011

FINANCIAL WEST GROUP

BD
CRD#: 16668
WESTLAKE VILLAGE, CA
Past

July 31, 2006 - April 23, 2009

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
WOODLAND HILLS, CA
Past

April 25, 2001 - August 9, 2004

FINANCIAL WEST GROUP

RIA
CRD#: 16668
WESTLAKE VILLAGE, CA
Past

April 5, 2000 - August 9, 2004

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

February 27, 1998 - April 5, 2000

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
CARPINTERIA, CA
Past

June 9, 1997 - February 23, 1998

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

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
(6/20/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/15/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/12/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/4/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/13/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/6/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/5/2004
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/10/2000
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/7/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/17/1999
General Securities Principal Examination

Current Firm

SC
SANTA CRUZ WEALTH MANAGEMENT INC.
SANTA CRUZ WEALTH MANAGEMENT INC. | THOMAS KRUEGER

CRD#: 325737 / SEC#:

California
Registered Investment Advisory firm - (6/20/2023 Approved)
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Contact information

Main Address
30721 Russell Ranch Road Suite 140, Westlake Village, CA 91362
Mailing Address
Phone number
(805) 501-0864
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts15
AUM (Assets Under Management)$ 3,000,000

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

SANTA CRUZ WEALTH MANAGEMENT INC.

CRD#: 325737Westlake Village, CA 91362

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Contact information

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