• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Thomas Krueger
THOMAS BRADFORD KRUEGER, TOM KRUEGER
CRD#: 2899998
IA
Investment Adviser
B
Previous Broker
SANTA CRUZ WEALTH MANAGEMENT INC.CRD#: 325737 30721 RUSSELL RANCH ROAD
SUITE 140
WESTLAKE VILLAGE, CA 91362
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2016 - 2016 (<1 year)2 FIRMS2014 - 2016 (2 years)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2013 - 2017 (3 years)2 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - 2023 (3 years)IASANTA CRUZ WEALTH MANAGEMENT INC. (CRD# 325737)2023 - Present (1 year)BHUB INTERNATIONAL INVESTMENT S... (CRD# 150252)2011 - 2013 (1 year)BFINANCIAL WEST GROUP (CRD# 16668)2009 - 2011 (2 years)BSUNAMERICA CAPITAL SERVICES, INC. (CRD# 13158)2006 - 2009 (2 years)BFINANCIAL WEST GROUP (CRD# 16668)2000 - 2004 (4 years)BIRM DISTRIBUTORS, INC. (CRD# 11869)1998 - 2000 (2 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1997 - 1998 (<1 year)IAHUB INTERNATIONAL INVESTMENT S... (CRD# 150252)2012 - 2013 (<1 year)IAFINANCIAL WEST GROUP (CRD# 16668)2010 - 2011 (1 year)IAFINANCIAL WEST INVESTMENT GROU... (CRD# 16668)2001 - 2004 (3 years)
Disclosure(s)
View By:
10/28/2022
Customer Dispute
Denied
3/17/2022
Customer Dispute
Settled
License(s)

State Registrations

IA
California 6/20/2023

Current Registration(s)
IA
SANTA CRUZ WEALTH MANAGEMENT INC. (CRD#:325737)
30721 RUSSELL RANCH ROAD SUITE 140, WESTLAKE VILLAGE, CA 91362
Registered with this firm since 6/20/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/30/2019 - 06/19/2023 EDWARD JONES (CRD#:250) WESTLAKE VILLAGE, CA
B
09/27/2019 - 06/19/2023 EDWARD JONES (CRD#:250) WESTLAKE VILLAGE, CA
IA
04/05/2017 - 09/17/2019 LADENBURG THALMANN ASSET MANAGEMENT INC (CRD#:108604) Calabasas, CA
B
04/05/2017 - 09/17/2019 LADENBURG THALMANN & CO. INC. (CRD#:505) CALABASAS, CA
IA
01/17/2017 - 04/05/2017 VFG ADVISORS, INC. (CRD#:150370) CULVER CITY, CA
IA
05/17/2013 - 04/05/2017 ALYSSUM BENEFITS LLC (CRD#:167245) CALABASAS, CA
B
11/18/2013 - 03/31/2017 VFG SECURITIES, INC. (CRD#:15121) CULVER CITY, CA
B
01/18/2017 - 02/03/2017 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
WESTLAKE VILLAGE, CA
B
06/18/2014 - 12/31/2016 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
WESTLAKE VILLAGE, CA
B
01/27/2016 - 09/08/2016 GOVDESK, LLC (CRD#:44323) NEWARK, NJ
IA
06/19/2014 - 03/11/2016 FINANCIAL WEST GROUP (CRD#:16668) WESTLAKE VILLAGE, CA
B
02/11/2016 - 02/29/2016 MUTUAL SECURITIES, INC. (CRD#:13092) TUCSON, AZ
IA
04/19/2012 - 03/14/2013 HUB INTERNATIONAL INVESTMENT SERVICES INC. (HIIS) (CRD#:150252) WESTLAKE VILLAGE, CA
B
10/25/2011 - 03/14/2013 HUB INTERNATIONAL INVESTMENT SERVICES INC. (CRD#:150252) WESTLAKE VILLAGE, CA
IA
02/23/2010 - 10/24/2011 FINANCIAL WEST GROUP (CRD#:16668) WESTLAKE VILLAGE, CA
B
08/31/2009 - 10/24/2011 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
WESTLAKE VILLAGE, CA
B
07/31/2006 - 04/23/2009 SUNAMERICA CAPITAL SERVICES, INC. (CRD#:13158) WOODLAND HILLS, CA
IA
04/25/2001 - 08/09/2004 FINANCIAL WEST INVESTMENT GROUP, INC. (CRD#:16668) WESTLAKE VILLAGE, CA
B
04/05/2000 - 08/09/2004 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
RENO, NV
B
02/27/1998 - 04/05/2000 IRM DISTRIBUTORS, INC. (CRD#:11869) CARPINTERIA, CA
B
06/09/1997 - 02/23/1998 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.