Paul T. Croft
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 Thomas Croft, who also goes by Paul T Croft, was a registered financial advisor .
Paul is a previously registered financial advisor and started their career in finance in 2005. Paul had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2014 - June 15, 2015
CONTEGO CAPITAL GROUP, INC.
December 16, 2013 - November 10, 2014
GRADIENT ADVISORS, LLC
June 24, 2005 - November 20, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
CONTEGO CAPITAL GROUP, INC.
CRD#: 128518 / SEC#: 801-113844
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONTEGO CAPITAL GROUP, INC.
CRD#: 128518 / SEC#: 801-113844
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 121 |
| AUM (Assets Under Management) | $ 73,270,000 |
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.
