Doyle J. Toups
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Doyle John Toups was a registered financial professional .
Doyle is a previously registered financial professional and started their career in finance in 1983. Doyle had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2019 - August 9, 2019
CETERA INVESTMENT SERVICES LLC
June 19, 2019 - August 9, 2019
CETERA INVESTMENT ADVISERS LLC
June 26, 2018 - June 25, 2019
FORESTERS ADVISORY SERVICES, LLC
June 26, 2018 - June 25, 2019
FORESTERS FINANCIAL SERVICES, INC.
November 21, 2016 - May 23, 2018
PRUCO SECURITIES, LLC.
May 19, 2015 - May 23, 2018
PRUCO SECURITIES, LLC.
July 28, 2014 - January 5, 2015
MSI FINANCIAL SERVICES, INC.
July 24, 2014 - January 5, 2015
MSI FINANCIAL SERVICES, INC.
June 11, 2010 - August 10, 2012
MSI FINANCIAL SERVICES, INC.
May 18, 2010 - August 10, 2012
MSI FINANCIAL SERVICES, INC.
February 12, 2009 - January 20, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
January 9, 2006 - March 6, 2009
MSI FINANCIAL SERVICES, INC.
April 11, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 11, 2005 - March 6, 2009
MSI FINANCIAL SERVICES, INC.
April 8, 1993 - November 2, 1998
METROPOLITAN LIFE INSURANCE COMPANY
April 8, 1993 - November 2, 1998
MSI FINANCIAL SERVICES, INC.
December 2, 1985 - November 23, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 14, 1985 - September 4, 1985
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
March 21, 1983 - October 9, 1984
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
