Theodore A. Krauss

KRAUSS WHITING CAPITAL ADVISORS

STAMFORD, CT 06901-2500

CRD#: 4391064

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Professional summary

Theodore Alfred Krauss, who also goes by Ted Krauss, is a registered financial advisor currently at KRAUSS WHITING CAPITAL ADVISORS LLC located in Stamford, Connecticut.

Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Theodore has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ted Krauss

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 Theodore Alfred Krauss'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

August 16, 1999 - Present

KRAUSS WHITING CAPITAL ADVISORS LLC

Office #1: 4 Landmark Square, Stamford, CT 06901-2500

RIA

CRD#: 109588

STAMFORD, CT

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

Connecticut
(8/16/1999)

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: 6/4/1999

Uniform Investment Adviser Law Examination

Current Firm

KRAUSS WHITING CAPITAL ADVISORS LLC

KRAUSS WHITING CAPITAL ADVISORS LLC | KRAUSS WHITING LLC

CRD#: 109588 / SEC#: 801-56678

RIA

Registered Investment Advisory firm - (8/30/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (8/22/2012 Approved)

New York

Registered Investment Advisory firm - (11/12/2014 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).

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Contact information

Main Address

4 Landmark Square, Stamford, CT 06901-2500

Mailing Address

Phone number

(203) 964-1700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	51
AUM (Assets Under Management)	$ 47,001,482

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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Theodore A. Krauss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Alfred Krauss's CRS (Customer Relationship Summary).

Certified licenses

Experience

KRAUSS WHITING CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/1999

Current Firm

KRAUSS WHITING CAPITAL ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KRAUSS WHITING CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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