Thomas F. Craig
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.
Thomas F Craig III, who also goes by Thom F Craig III, Thom F Craig, Thom Francis Craig III, Thom Francis Craig, Thom Craig Iii, Thom Craig, Thomas F Craig, Thomas Francis Craig Iii, Thomas Francis Craig, Thomas Craig Iii, Thomas Craig, Thomas F Craig Iii, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2025 - March 28, 2025
EDWARD JONES
June 10, 2024 - July 17, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
June 7, 2024 - July 17, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
September 3, 2019 - June 10, 2024
EDWARD JONES
August 30, 2019 - June 10, 2024
EDWARD JONES
October 12, 2018 - September 4, 2019
VALLEY WEALTH MANAGERS, INC.
January 14, 2015 - September 28, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 14, 2015 - September 28, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 2, 2013 - November 19, 2014
MORGAN STANLEY
April 30, 2013 - November 19, 2014
MORGAN STANLEY
January 30, 2013 - April 16, 2013
LINDEN ASSET MANAGEMENT INC
January 17, 2013 - March 22, 2013
NATIONAL SECURITIES CORPORATION
December 21, 2011 - November 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 2011 - November 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2008 - August 19, 2009
BLACKROCK FUND ADVISORS
January 15, 2008 - August 19, 2009
BLACKROCK EXECUTION SERVICES
September 27, 2006 - December 6, 2007
CITIGROUP GLOBAL MARKETS INC.
July 7, 2006 - December 6, 2007
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
