Paul A. Toft
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.
Paul Allen Toft was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 6 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
January 2, 2004 - July 29, 2013
VICTORY CAPITAL SERVICES, INC.
May 14, 1999 - December 31, 2003
KEYBANC CAPITAL MARKETS INC.
August 16, 1996 - May 14, 1999
KEY INVESTMENTS INC.
November 25, 1991 - September 16, 1994
FIRST TRUST PORTFOLIOS L.P.
May 3, 1991 - October 1, 1991
CLAYTON BROWN & ASSOCIATES, INC.
April 8, 1987 - March 25, 1991
INVESCO CAPITAL MARKETS, INC.
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
VICTORY CAPITAL SERVICES, INC.
CRD#: 37059 / SEC#: , 8-47577
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
