Toshiaki T. Kato
Professional summary
Toshiaki Thomas Kato is a registered financial professional currently at BLUE OCEAN ATS located in West Palm Beach, Florida.
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Toshiaki Thomas Kato's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2025 - Present
BLUE OCEAN ATS
Office #1: 515 N. Flagler Dr, Suite 350 515, West Palm Beach, FL 33401May 6, 1992 - August 7, 2014
DAIWA CAPITAL MARKETS AMERICA 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
Series 7TO
Date: 4/8/2025
General Securities Representative ExaminationSeries 8
Date: 2/28/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
BLUE OCEAN ATS
CRD#: 306512 / SEC#: , 8-70452
Contact information
FINRA licenses (1 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 |
| BROWN, JASON MATTHEW | HEAD OF SALES AND ATS OPERATIONS | 2334010 |
| HYNDMAN, BRIAN KEITH | PRESIDENT & CEO | 2281837 |
| MEADE, CHRISTOPHER HILARY | CHIEF COMPLIANCE OFFICER | 2629159 |
| WISHIK, EDWARD | CHIEF FINANCIAL OFFICER | 2264777 |
Red Flags
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