Philip J. Toffel
Professional summary
Philip John Toffel is a registered financial professional currently at HALLIDAY FINANCIAL, LLC located in Clifton Park, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1982. Philip has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip John Toffel's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 27, 2015 - Present
HALLIDAY FINANCIAL, LLC
Office #1: 4 Executive Park Drive, Clifton Park, NY 12065May 26, 2009 - May 29, 2015
PURSHE KAPLAN STERLING INVESTMENTS
September 10, 2007 - December 31, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 28, 2005 - March 22, 2007
MERCER ALLIED COMPANY, L.P.
April 21, 1998 - January 12, 2005
WASHINGTON TRUST ADVISORS
August 24, 1995 - January 12, 2005
WESTON SECURITIES CORPORATION
November 3, 1993 - February 21, 1995
WESTPORT FINANCIAL SERVICES, INC.
June 29, 1990 - February 11, 1992
MERCER ALLIED CORPORATION
November 19, 1989 - January 1, 1990
OSAIC WEALTH, INC.
October 12, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 24, 1982 - September 29, 1983
MERCER ALLIED CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/10/2018)
(5/27/2015)
(1/10/2018)
(5/27/2015)
(5/27/2015)
(12/6/2019)
(4/3/2018)
(5/27/2015)
(5/27/2015)
(10/17/2019)
(5/27/2015)
(9/24/2019)
(8/7/2020)
(10/17/2019)
Exams
FINRA
Current Firm
HALLIDAY FINANCIAL, LLC
CRD#: 31741 / SEC#: , 8-45529
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HRC INVESTMENT SERVICES, INC. | DIRECT PARENT OF HALLIDAY FINANCIAL, LLC | |
| PINO, RACHEL HOLSTE | FINOP, CCO, SUPERVISOR | 2381976 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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