FK
Frances Kraus
CROAK CAPITAL
Toledo, OH 43604
Some features on this profile are disabled
CRD#: 7991296
FK
Professional summary
Frances Kraus is a registered financial advisor currently at CROAK CAPITAL located in Toledo, Ohio.
Frances is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Frances has worked at 1 firm and has passed the Series 65 exam.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Frances Kraus'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®
NoneExperience
Current
November 20, 2024 - Present
CROAK CAPITAL
Office #1: 432 N Superior St., Toledo, OH 43604RIA
CRD#: 297666
Toledo, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
CROAK CAPITAL
CROAK ASSET MANAGEMENT | CROAK CAPITAL | CROAK ASSET MANAGEMENT, LLC
CRD#: 297666 / SEC#: 801-126464
RIA
Registered Investment Advisory firm - (8/31/2022 Approved)Illinois
Registered Investment Advisory firm - (9/13/2022 Terminated)Indiana
Registered Investment Advisory firm - (9/13/2022 Terminated)Louisiana
Registered Investment Advisory firm - (9/14/2022 Terminated)Michigan
Registered Investment Advisory firm - (9/20/2022 Terminated)Ohio
Registered Investment Advisory firm - (9/13/2022 Terminated)Texas
Registered Investment Advisory firm - (9/13/2022 Terminated)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
Ohio(11/20/2024)
Current Firm
CC
CROAK CAPITAL
CROAK ASSET MANAGEMENT | CROAK CAPITAL | CROAK ASSET MANAGEMENT, LLC
CRD#: 297666 / SEC#: 801-126464
RIA
Registered Investment Advisory firm - (8/31/2022 Approved)Illinois
Registered Investment Advisory firm - (9/13/2022 Terminated)Indiana
Registered Investment Advisory firm - (9/13/2022 Terminated)Louisiana
Registered Investment Advisory firm - (9/14/2022 Terminated)Michigan
Registered Investment Advisory firm - (9/20/2022 Terminated)Ohio
Registered Investment Advisory firm - (9/13/2022 Terminated)Texas
Registered Investment Advisory firm - (9/13/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
432 N Superior St., Toledo, OH 43604
Mailing Address
Phone number
(419) 464-7000
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,027 |
| AUM (Assets Under Management) | $ 300,230,116 |
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.
Company Information
CROAK CAPITAL
CRD#: 297666Toledo, OH 43604TRUST BUT VERIFY
Monitor Frances Kraus
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
