Carol D. Thomson
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.
Carol Diane Thomson, who also goes by Carol Diane Plutte, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2012. Carol had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - September 21, 2012
CROSSGATE WEALTH ADVISORS, LLC
Primary Firm SEC Registration
CROSSGATE WEALTH ADVISORS, LLC
CRD#: 121856 / SEC#: 801-80475
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
CROSSGATE WEALTH ADVISORS, LLC
CRD#: 121856 / SEC#: 801-80475
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 179 |
| AUM (Assets Under Management) | $ 236,163,322 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/05/2024 | ||
| 01/10/2024 | ||
| 11/18/2022 |
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.
