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Thomas Russell Croxton

Investment Adviser Representative at MARINER ADVISOR NETWORK

Oakland, CACRD #4899717Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
1 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Thomas Russell Croxton has worked in the securities industry since 2006. They have passed the Series 99, 66, 24, and 7 examinations. They are registered to provide investment advisory services in California.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
California
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 4/19/2008
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/20/2006
Series 24
General Securities Principal Examination
Passed 10/9/2013

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Mariner Advisor Network Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MARINER ADVISOR NETWORKCurrent
11/18/2024Oakland, CA
LPL FINANCIAL LLCCurrent
11/12/2024Oakland, CA
LPL FINANCIAL LLC
5/20/20265/26/2026Sacramento, CA
COMPOUND PLANNING
1/26/202410/21/2024Oakland, CA
MARINER INDEPENDENT ADVISOR NETWORK, LLC
1/11/20171/16/2024San Mateo, CA
LPL FINANCIAL LLC
4/21/20084/26/2017Sacramento, CA

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Russell Croxton has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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