Roger J. Toth
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.
Roger Joseph Toth, who also goes by Roger J Toth, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 8 firms and has passed the Series 63, SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2006 - December 31, 2019
THE O.N. EQUITY SALES COMPANY
February 3, 2006 - September 5, 2006
USALLIANZ SECURITIES, INC.
June 1, 1999 - December 8, 2005
USALLIANZ SECURITIES, INC.
January 7, 1998 - June 1, 1999
SIGMA FINANCIAL CORPORATION
December 6, 1995 - December 31, 1997
SIGMA FINANCIAL CORPORATION
April 3, 1995 - December 31, 1995
CETERA ADVISORS LLC
June 25, 1992 - April 4, 1995
MML INVESTORS SERVICES, LLC
April 3, 1984 - April 23, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 6, 1983 - June 27, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 6, 1983 - June 27, 1992
SIGNATOR INVESTORS, INC.
June 19, 1983 - September 27, 1983
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
Series 2
Date: 12/20/1974
Non-Member General Securities ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
