Steven J. Toto
Professional summary
Steven Joseph Toto, CFP®, who also goes by Steve Toto, Steven J Toto, is a registered financial advisor currently at ETHOS CAPITAL MANAGEMENT, INC. located in Princeton, New Jersey.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Steven has worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Joseph Toto's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2000
Experience
May 17, 2021 - Present
ETHOS CAPITAL MANAGEMENT, INC.
Office #1: 100 Overlook Center 2nd Floor, Princeton, NJ, 08540Office #2: 626 South State Street, Newtown, PA 18940February 14, 2020 - May 14, 2021
MADISON AVENUE SECURITIES, LLC
February 22, 2018 - September 9, 2021
AE WEALTH MANAGEMENT, LLC
January 25, 2018 - March 23, 2018
THE RETIREMENT GROUP, LLC
November 8, 2011 - December 31, 2017
THE RETIREMENT GROUP, LLC
November 1, 2011 - February 23, 2018
FSC SECURITIES CORPORATION
February 18, 2011 - November 9, 2011
LPL FINANCIAL LLC
February 16, 2011 - November 9, 2011
LPL FINANCIAL LLC
May 3, 2007 - February 11, 2011
QA3 FINANCIAL LLC
May 3, 2007 - February 11, 2011
QA3 FINANCIAL CORP.
September 17, 2004 - May 3, 2007
VOYA FINANCIAL ADVISORS, INC.
September 16, 2004 - May 3, 2007
VOYA FINANCIAL ADVISORS, INC.
November 14, 2002 - September 15, 2004
EQUITY SERVICES, INC.
September 12, 2002 - September 15, 2004
EQUITY SERVICES, INC.
June 20, 2002 - September 10, 2002
NEW ENGLAND SECURITIES
November 18, 1996 - September 10, 2002
NEW ENGLAND SECURITIES
October 24, 1994 - November 15, 1996
SUMMIT EQUITIES, INC.
May 3, 1994 - November 17, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 3, 1994 - November 17, 1994
SIGNATOR INVESTORS, INC.
June 13, 1990 - April 5, 1994
GUARDIAN INVESTOR SERVICES LLC
October 24, 1988 - June 15, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 24, 1988 - June 15, 1990
SIGNATOR INVESTORS, INC.
July 27, 1987 - November 11, 1988
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
ETHOS CAPITAL MANAGEMENT, INC.
CRD#: 313145 / SEC#: 801-132170
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/19/2021)
(5/17/2021)
Exams
Series 7TO
Date: 3/25/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/25/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ETHOS CAPITAL MANAGEMENT, INC.
CRD#: 313145 / SEC#: 801-132170
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 429 |
| AUM (Assets Under Management) | $ 129,143,442 |
Red Flags
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Company Information
ETHOS CAPITAL MANAGEMENT, INC.
CRD#: 313145Princeton, NJ 08540TRUST BUT VERIFY
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