Toni J. Elliott
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.
Toni Johnson Elliott, who also goes by Toni Johnson, was a registered financial professional .
Toni is a previously registered financial professional and started their career in finance in 1972. Toni had worked at 4 firms and has passed the Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2012 - October 9, 2012
EMPIRE ASSET MANAGEMENT COMPANY
March 3, 1991 - November 24, 1995
CITIGROUP GLOBAL MARKETS INC.
February 27, 1976 - September 15, 2010
CITIGROUP GLOBAL MARKETS INC.
July 7, 1975 - February 27, 1976
SMITH, BARNEY & CO. INCORPORATED
May 25, 1972 - April 14, 1974
LOEWI & CO., INCORPORATED
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
Series 1
Date: 5/22/1972
Registered Representative ExaminationSeries 8
Date: 10/29/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 11/14/1977
Registered Principal ExaminationCurrent Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
Red Flags
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