Thomas A. 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.
Thomas Andrew Toth JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2000 - May 24, 2024
TOTH FINANCIAL ADVISORY CORP
November 18, 1986 - May 23, 1989
CAPITOL SECURITIES MANAGEMENT, INC.
May 9, 1986 - November 25, 1986
FSC SECURITIES CORPORATION
November 21, 1984 - April 24, 1986
DERAND/PENNINGTON/BASS, INC.
Primary Firm SEC Registration
TOTH FINANCIAL ADVISORY CORP
CRD#: 104952 / SEC#: 801-27662
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
TOTH FINANCIAL ADVISORY CORP
CRD#: 104952 / SEC#: 801-27662
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,190 |
| AUM (Assets Under Management) | $ 1,015,808,953 |
Red Flags
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