Maximiliano M. Toledo
Professional summary
Maximiliano Miguel Toledo II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Maximiliano is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Maximiliano had worked at 8 firms, which includes CITICORP INVESTMENT SERVICES, BNY MELLON SECURITIES CORPORATION, FIRST UNION BROKERAGE SERVICES INC., UBS FINANCIAL SERVICES INC., NATIONSSECURITIES, BANC OF AMERICA INVESTMENT SERVICES INC., NATIONSBANC SECURITIES OF GEORGIA INC., H.J. MEYERS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2001 - July 11, 2003
CITICORP INVESTMENT SERVICES
August 18, 2000 - February 22, 2001
BNY MELLON SECURITIES CORPORATION
November 26, 1997 - February 22, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 6, 1994 - November 14, 1996
UBS FINANCIAL SERVICES INC.
June 7, 1993 - April 11, 1994
NATIONSSECURITIES
March 31, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 4, 1989 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
June 24, 1987 - January 12, 1988
H.J. MEYERS & CO., 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
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
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