Steven Toong
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.
Steven Toong, who also goes by Steven P Toong, Steven Po Kuen Toong, Steven Po-kuen Toong, Steven Pokuen Toong, Steven Toong, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1998. Steven had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2016 - September 29, 2021
J.P. MORGAN SECURITIES LLC
January 27, 2016 - September 29, 2021
J.P. MORGAN SECURITIES LLC
February 28, 2014 - January 12, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 2014 - January 12, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2014 - February 18, 2014
CETERA INVESTMENT ADVISERS LLC
February 25, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
February 25, 2013 - February 18, 2014
CETERA INVESTMENT SERVICES LLC
April 19, 2012 - July 11, 2012
QUEST CAPITAL STRATEGIES, INC.
April 19, 2012 - July 11, 2012
QUEST CAPITAL STRATEGIES, INC.
May 8, 2009 - June 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 2009 - June 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 2006 - May 21, 2009
UBS FINANCIAL SERVICES INC.
July 10, 2006 - May 21, 2009
UBS FINANCIAL SERVICES INC.
April 4, 2005 - April 7, 2006
IDS LIFE INSURANCE COMPANY
April 4, 2005 - April 7, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 2003 - March 14, 2005
CHARLES SCHWAB & CO., INC.
January 8, 2002 - April 1, 2003
WHITE PACIFIC SECURITIES, INC.
November 1, 2000 - January 14, 2002
MORGAN STANLEY DW INC.
August 24, 2000 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
November 25, 1998 - August 11, 2000
TD AMERITRADE, INC.
July 1, 1998 - December 15, 1998
CAL FED INVESTMENTS
April 2, 1998 - June 5, 1998
ACUMENT SECURITIES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
