Jacob R. Craton

ROLLINGWAVE CAPITAL

Palm Beach Gardens, FL

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CRD#: 4850961

Professional summary

Jacob Robert Craton is a registered financial advisor currently at ROLLINGWAVE CAPITAL located in Palm Beach Gardens, Florida.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Jacob has worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Robert Craton'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

March 4, 2020 - Present

ROLLINGWAVE CAPITAL

RIA

CRD#: 306453

Palm Beach Gardens, FL

Past

March 28, 2013 - April 23, 2013

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

BOCA RATON, FL

Past

March 26, 2013 - April 23, 2013

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

November 6, 2007 - August 24, 2012

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PALM BEACH, FL

Past

October 31, 2007 - August 24, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PALM BEACH GARDENS, FL

Past

April 2, 2007 - August 17, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PALM BEACH, FL

Past

April 2, 2007 - August 17, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

PALM BEACH, FL

Past

October 25, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PALM BEACH, FL

Past

August 24, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PALM BEACH, FL

Past

October 20, 2004 - June 15, 2005

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

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

Florida
(3/4/2020)

IAR

Michigan
(8/5/2020)

IAR

Texas
(1/17/2024)

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: 11/15/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 1/5/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/3/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/19/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROLLINGWAVE CAPITAL

ROLLINGWAVE CAPITAL | ROLLINGWAVE CAPITAL LLC

CRD#: 306453 / SEC#:

Florida

Registered Investment Advisory firm - (3/4/2020 Approved)

Michigan

Registered Investment Advisory firm - (8/3/2020 Approved)

Texas

Registered Investment Advisory firm - (1/3/2024 Conditional Restricted)

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Contact information

Main Address

412 Capistrano Dr, Palm Beach Gardens, FL 33410

Mailing Address

Phone number

(561) 571-1981

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	66
AUM (Assets Under Management)	$ 21,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Jacob R. Craton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob Robert Craton's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

SECURIAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2018

Series 63

Date: 10/20/2004

Series 31

Date: 1/5/2007

Series 7

Date: 10/3/2006

Series 6

Date: 10/19/2004

Current Firm

ROLLINGWAVE CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROLLINGWAVE CAPITAL

TRUST BUT VERIFY

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