Robert E. Toal
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.
Robert Edward Toal was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 4 firms and has passed the 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
September 14, 2010 - November 18, 2024
DIVERSIFIED PORTFOLIOS, INC.
December 4, 1990 - November 9, 1993
ADVANCE CAPITAL SERVICES, INC.
November 30, 1988 - November 20, 1989
RONEY & CO. L.L.C.
January 29, 1985 - November 18, 1985
YORK WORLD WIDE INVESTMENTS, INC.
Primary Firm SEC Registration
DIVERSIFIED PORTFOLIOS, INC.
CRD#: 108942 / SEC#: 801-56371
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
DIVERSIFIED PORTFOLIOS, INC.
CRD#: 108942 / SEC#: 801-56371
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,152 |
| AUM (Assets Under Management) | $ 1,660,883,638 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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