Thomas A. Toth

TOTH FINANCIAL ADVISORY CORP

LEESBURG, VA 20175

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CRD#: 1239543

Professional summary

Thomas Andrew Toth SR, who also goes by Thomas Andrew Toth, Tom Toth Sr, Tom Toth, is a registered financial advisor currently at TOTH FINANCIAL ADVISORY CORP located in Leesburg, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Andrew Toth | Tom Toth Sr | Tom Toth

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)LOUDOUN PROPERTIES, LLC, NON-INVESTMENT RELATED 608 SO. KING ST, SUITE 300; LEESBURG, VA 20175. FORMED IN THE YEAR 2000 TO DEVELOP 2 COMMERCIAL BUILDINGS IN LEESBURG, VA. MANAGING MEMBER APPROXIMATELY 3 HOURS/MONTH; NONE DURING SECURITIES TRADING HOURS. 2)MTV ENTERPRISES, LLC; 608 SO KING ST; LEESBURG, VA 20175. FORMED TO PURCHASE AIRCRAFT FOR LEASE. MANAGING MEMBER; APPROXIMATELY 1HOUR/MONTH; NONE DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Andrew Toth SR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 15, 1989 - Present

TOTH FINANCIAL ADVISORY CORP

Office #1: 608 South King Street Suite 300, Leesburg, VA 20175

RIA

CRD#: 104952

LEESBURG, VA

Past

October 23, 1997 - December 31, 2004

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

September 15, 1994 - September 17, 1997

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

October 23, 1990 - August 10, 1994

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

February 21, 1990 - December 31, 1996

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

November 14, 1986 - October 9, 1990

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

April 23, 1986 - November 24, 1986

FSC SECURITIES CORPORATION

CRD#: 7461

Past

July 25, 1984 - April 24, 1986

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

April 18, 1984 - July 20, 1984

BAKER, WATTS & CO., INC.

CRD#: 68

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOTH FINANCIAL ADVISORY CORP

TOTH AND ASSOCIATES, INC, | TOTH FINANCIAL ADVISORY CORP

CRD#: 104952 / SEC#: 801-27662

RIA

Registered Investment Advisory firm - (8/21/1986 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(5/8/2006)

IAR

Virginia
(8/15/1989)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/5/1989

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 9/2/1988

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/23/1986

General Securities Principal Examination

Current Firm

TOTH FINANCIAL ADVISORY CORP

TOTH AND ASSOCIATES, INC, | TOTH FINANCIAL ADVISORY CORP

CRD#: 104952 / SEC#: 801-27662

RIA

Registered Investment Advisory firm - (8/21/1986 Approved)

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Contact information

Main Address

608 South King Street Suite 300, Leesburg, VA 20175

Mailing Address

Phone number

(703) 443-8684

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TFAC FORM ADV PART 2A AND 2B MARCH 2024 (8/4/2025)

Regulatory assets under management

Total Number of Accounts	2,190
AUM (Assets Under Management)	$ 1,015,808,953

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.

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Advisor Monitoring

Firm Stability Insights

Thomas A. Toth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Andrew Toth SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

CAPITOL SECURITIES MANAGEMENT, INC.

VOYA FINANCIAL ADVISORS, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

FSC SECURITIES CORPORATION

DERAND/PENNINGTON/BASS, INC.

BAKER, WATTS & CO., INC.

Primary Firm SEC Registration

TOTH FINANCIAL ADVISORY CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 9/5/1989

Series 63

Date: 5/1/1984

Series 7

Date: 4/14/1984

Series 27

Date: 9/2/1988

Series 24

Date: 10/23/1986

Current Firm

TOTH FINANCIAL ADVISORY CORP

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOTH FINANCIAL ADVISORY CORP

TRUST BUT VERIFY

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