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TT

Thomas A. Toth

TOTH FINANCIAL ADVISORY
LEESBURG, VA 20175
Some features on this profile are disabled
CRD#: 1239543
TT

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.
The advisor shows no other business activity.

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.

BD
CRD#: 10641
SYRACUSE, NY
Past

September 15, 1994 - September 17, 1997

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

October 23, 1990 - August 10, 1994

CAPITOL SECURITIES MANAGEMENT, INC.

BD
CRD#: 14169
GLEN ALLEN, VA
Past

February 21, 1990 - December 31, 1996

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

November 14, 1986 - October 9, 1990

CAPITOL SECURITIES MANAGEMENT, INC.

BD
CRD#: 14169
GLEN ALLEN, VA
Past

April 23, 1986 - November 24, 1986

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

July 25, 1984 - April 24, 1986

DERAND/PENNINGTON/BASS, INC.

BD
CRD#: 4679
Past

April 18, 1984 - July 20, 1984

BAKER, WATTS & CO., INC.

BD
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".
TF
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/5/1989
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/2/1988
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/1986
General Securities Principal Examination

Current Firm

TF
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)
PREMIUM
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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
18

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts2,190
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.

Company Information

TOTH FINANCIAL ADVISORY CORP

CRD#: 104952Leesburg, VA 20175

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