TK
TK
Thomas Krueger
26 Years of Experience
Westlake Village, CA
2 Disclosures
Thomas Krueger is a registered investment advisor at Santa Cruz Wealth Management INC., based in Westlake Village, CA, with 26 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 1 more. Their firm serves 15 clients with $3M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
15 clients
Average Client Portfolio
$200K average
Assets Under Management
$3.0M
Fee Structure
Minimum Investment:$10K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.00% |
| $1.0M - $3.0M | 0.85% |
| $3.0M - $5.0M | 0.70% |
| $5M+ | 0.50% |
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location
2555 Townsgate Road, Suite 200, Westlake Village, CA, 91361
Get directionsHistory
Regulatory History (2)
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Customer Dispute
October 2022Denied
Customer Dispute
March 2022Settled
Employment History
Current Registrations
Santa Cruz Wealth Management INC.
June 2023 - Present · 2 yrs 11 mos
Previous Registrations
Edward Jones
September 2019 - June 2023 · 3 yrs 9 mos
Edward JonesBroker
September 2019 - June 2023 · 3 yrs 9 mos
Ladenburg Thalmann & CO. INC.Broker
April 2017 - September 2019 · 2 yrs 5 mos
Ladenburg Thalmann Asset Management INC
April 2017 - September 2019 · 2 yrs 5 mos
Financial West GroupBroker
January 2017 - February 2017 · 1 mo
Vfg Advisors, INC.
January 2017 - April 2017 · 3 mos
Mutual Securities, INC.Broker
February 2016 - February 2016 · 0 mos
Govdesk, LLCBroker
January 2016 - September 2016 · 8 mos
Financial West Group
June 2014 - March 2016 · 1 yr 9 mos
Financial West GroupBroker
June 2014 - December 2016 · 2 yrs 6 mos
Vfg Securities, INC.Broker
November 2013 - March 2017 · 3 yrs 4 mos
Alyssum Benefits LLC
May 2013 - April 2017 · 3 yrs 11 mos
HUB International Investment Services INC. (hiis)
April 2012 - March 2013 · 11 mos
HUB International Investment Services INC.Broker
October 2011 - March 2013 · 1 yr 5 mos
Financial West Group
February 2010 - October 2011 · 1 yr 8 mos
Financial West GroupBroker
August 2009 - October 2011 · 2 yrs 2 mos
Sunamerica Capital Services, INC.Broker
July 2006 - April 2009 · 2 yrs 9 mos
Financial West Investment Group, INC.
April 2001 - August 2004 · 3 yrs 4 mos
Financial West GroupBroker
April 2000 - August 2004 · 4 yrs 4 mos
Irm Distributors, INC.Broker
February 1998 - April 2000 · 2 yrs 2 mos
Sunamerica Securities, INC.Broker
June 1997 - February 1998 · 8 mos
State Registrations1 state
CA
Advisor
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Exams
No exam information available for this advisor.