David A. Theiss

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CRD#: 4043293

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.

David A Theiss, CFP®, who also goes by Dave Theiss, David Allen Theiss, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1999. David had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Theiss | David Allen Theiss

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.

David Theiss - Toledo, OH - tax preparation - owner - 4hrs/mo (0 during mkt hrs) - not investment related - will not interfere with duties at firm

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®

CFP^®

Certified Financial Planner

Experience

Past

May 3, 2023 - August 26, 2024

CROAK CAPITAL

RIA

CRD#: 297666

TOLEDO, OH

Past

October 10, 2018 - December 23, 2020

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

TOLEDO, OH

Past

October 10, 2018 - December 23, 2020

FIFTH THIRD SECURITIES, INC.

CRD#: 628

TOLEDO, OH

Past

February 9, 2016 - September 12, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MAUMEE, OH

Past

January 27, 2016 - September 12, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

MAUMEE, OH

Past

October 6, 2014 - December 14, 2015

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MAUMEE, OH

Past

August 28, 2014 - December 14, 2015

MML INVESTORS SERVICES, LLC

CRD#: 10409

MAUMEE, OH

Past

April 30, 2013 - December 20, 2013

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

TOLEDO, OH

Past

April 24, 2013 - December 20, 2013

FIFTH THIRD SECURITIES, INC.

CRD#: 628

TOLEDO, OH

Past

October 4, 2007 - June 1, 2009

BD COMPLIANCE SOLUTIONS, LLC

CRD#: 30188

GAHANNA, OH

Past

January 24, 2007 - April 12, 2013

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

TOLEDO, OH

Past

April 24, 2006 - May 12, 2006

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

November 22, 2002 - April 17, 2006

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

December 20, 1999 - September 19, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

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)

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 66

Date: 2/23/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/7/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/8/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 1/21/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/17/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/23/2014

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/8/2008

General Securities Principal Examination

Current Firm

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)

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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

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CROAK ASSET MANAGEMENT ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (3/27/2025)

CROAK ASSET MANAGEMENT ADV PART 2A (3/27/2025)

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.

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Advisor Monitoring

Firm Stability Insights

David A. Theiss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

BD COMPLIANCE SOLUTIONS, LLC

FORESIDE DISTRIBUTION SERVICES, L.P.

CAMBRIDGE INVESTMENT RESEARCH, INC.

FORESIDE DISTRIBUTION SERVICES, L.P.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CROAK CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2007

Series 65

Date: 1/7/2000

Series 63

Date: 12/28/1999

SIE

Date: 9/12/2018

Series 3

Date: 2/8/2002

Series 31

Date: 1/21/2000

Series 7

Date: 12/17/1999

Series 53

Date: 9/23/2014

Series 24

Date: 7/8/2008

Current Firm

CROAK CAPITAL

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CROAK CAPITAL

TRUST BUT VERIFY

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