Toshiaki Thomas Kato
Professional Summary
Toshiaki Thomas Kato is a registered financial advisor currently at BLUE OCEAN ATS. Toshiaki is registered as a RR (Registered Representative) and started their career in finance in 1992. Toshiaki has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7, Series 8 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
BLUE OCEAN ATS | BLUE OCEAN ATS, LLC
Contact Information
Main Address
515 N. Flagler Dr, Suite 350 515, West Palm Beach, FL 33401Mailing Address
515 N. Flagler Dr, Suite 350 515, West Palm Beach, FL 33401Phone Number
(917) 533-5595Established
Delaware since 10/31/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLUE OCEAN TECHNOLOGIES, LLC | MANAGING MEMBER | — |
| BEATON, DANIEL STEWART | REGISTERED FINANCIAL PRINCIPAL | 4240769 |
| HYNDMAN, BRIAN KEITH | PRESIDENT & CEO | 2281837 |
| VIRGILIO, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 1464899 |
| WILLOCK, JOHN ANTON | CHIEF REVENUE OFFICER | 8080737 |
| WISHIK, EDWARD | CHIEF FINANCIAL OFFICER | 2264777 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Feb 1997SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Toshiaki Thomas Kato's CRS (Customer Relationship Summary).
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