Craig A. Slaubaugh
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.
Craig Aaron Slaubaugh, CFP® was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2013. Craig had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 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
Start date: 2021
Experience
June 4, 2024 - January 10, 2025
THE COURY FIRM
June 21, 2021 - August 2, 2023
WALDRON PRIVATE WEALTH
July 12, 2018 - May 17, 2021
HBKS WEALTH ADVISORS
July 11, 2018 - June 4, 2021
PURSHE KAPLAN STERLING INVESTMENTS
October 10, 2017 - June 21, 2018
KEY INVESTMENT SERVICES LLC
August 16, 2016 - August 25, 2017
PNC WEALTH MANAGEMENT LLC
August 16, 2016 - August 25, 2017
PNC WEALTH MANAGEMENT LLC
September 1, 2015 - July 11, 2016
LINCOLN INVESTMENT
December 19, 2013 - July 11, 2016
LINCOLN INVESTMENT
Primary Firm SEC Registration
THE COURY FIRM
CRD#: 289145 / SEC#: 801-112543
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
Series 7TO
Date: 1/19/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/19/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
THE COURY FIRM
CRD#: 289145 / SEC#: 801-112543
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,007 |
| AUM (Assets Under Management) | $ 1,189,533,934 |
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.
