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Jeffrey Scott Vanos

CRD# 1242703·Registered 1984 - 1992
Previously Registered: Being a previously registered professional could mean that Jeffrey 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.

Professional Summary

Jeffrey Scott Vanos was a registered financial advisor. Jeffrey was a previously registered financial professional and started their career in finance 1984 - 1992. Jeffrey had worked at 9 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

TOLUCA PACIFIC SECURITIES CORP.·CRD# 13875
BD
January 17, 1991 - April 7, 1992
OSBORNE, STERN & COMPANY, INC.·CRD# 19879
BD
August 21, 1989 - May 1, 1990
JP MICHAEL CO.·CRD# 15119
BD
May 5, 1987 - May 1, 1989
FITZGERALD, DEARMAN & ROBERTS, INC.·CRD# 317
BD
January 2, 1987 - March 11, 1987
EQUITY-ONE CORPORATION·CRD# 15126
BD
May 8, 1985 - January 2, 1987
BENTLEY INVESTMENTS, INC.·CRD# 6672
BD
February 5, 1985 - September 11, 1985
RICHEY, FRANKEL & COMPANY·CRD# 8548
BD
October 9, 1984 - December 27, 1984
PENN WEST SECURITIES & COMPANY·CRD# 10729
BD
May 21, 1984 - September 24, 1984
FIRST INTERWEST SECURITIES CORPORATION·CRD# 13492
BD
February 27, 1984 - May 14, 1984

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Current Firm

TP
TOLUCA PACIFIC SECURITIES CORP.

TOLUCA LAKE SECURITIES CORP. | TOLUCA PACIFIC SECURITIES CORP.

CRD#: 13875 / SEC#: 8-29814
BD
Cancelled by SEC on 06/17/2005

Contact Information

Established

California since 05/01/1983

Firm Type

Corporation

Fiscal Year End

April

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1984About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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