Craig Tompkins has been an investment adviser representative at CSP Financial Group since September 2022, and is not listed among the firm’s executive officers or direct owners.
CSP Financial Group LLC is a Scottsdale, AZ firm with $151M under management, 397 clients and 21 advisers across 18 offices, as of its September 2026 filing.
Craig Tompkins’ longest registration is the current one, 4 years at CSP Financial Group since 2022. Before joining CSP Financial Group in 2022, Craig Tompkins was registered through Craig Tompkins RIA and Rice Financial Consulting, Inc.
- CSP Financial Group LLCCurrent– present · 4 yearsSan Jose, CA · Adviser representative · Firm CRD 310819
- Craig Tompkins RIA– · 2 yearsSan Jose, CA · Adviser representative · Firm CRD 298647
- Rice Financial Consulting, Inc.– · under a yearLos Gatos, CA · Adviser representative · Firm CRD 170346
- Craig Tompkins RIA– · under a yearSan Jose, CA · Adviser representative · Firm CRD 298647
Investment adviser representative registrations
Craig Tompkins is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2022; the most recent is Texas, in July 2023.
- CaliforniaSince 16 September 2022
- TexasResidentSince 24 July 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 20 July 2018 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 28 April 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 January 1998 |
| Series 7 | General Securities Representative Examination | 19 September 1987 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Craig Walter Tompkins
- CRD
- 1729549
- Firm
- CSP Financial Group · CRD 310819
- Office
- San Jose, CA
- Registration
- Investment adviser registration
- In the industry since
- November 2018
- Disciplinary history
- Not yet shown here · SEC record
Where does Craig Tompkins work?
Craig Tompkins is an investment adviser representative registered through CSP Financial Group LLC since September 2022, and is not listed among the firm’s executive officers or direct owners.
Is Craig Tompkins a financial advisor?
Yes. Craig Tompkins has a current investment-adviser registration in California and Texas, through CSP Financial Group since September 2022.
How many years of experience does Craig Tompkins have?
Craig Tompkins has 7 years in the financial industry, since November 2018, across 3 adviser firms.
What exams has Craig Tompkins passed?
Craig Tompkins has passed 4 licensing exams: the Series 7, Series 63, Series 6 and Series 65. The earliest, the Series 7, was passed in September 1987.
Where did Craig Tompkins work before CSP Financial Group?
Before CSP Financial Group, Craig Tompkins was registered through Craig Tompkins RIA, March 2020 to September 2022; Rice Financial Consulting, Inc., April 2019 to January 2020; Craig Tompkins RIA, September 2018 to April 2019.
Where is Craig Tompkins based?
Craig Tompkins’ registered office is in San Jose, CA.
Is Craig Tompkins registered with FINRA?
No. Craig Tompkins has no current broker registration.
How can I verify Craig Tompkins’ record?
Search CRD 1729549 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Craig Tompkins’ full registration record.
