Nicholas Joseph Ro
Professional Summary
Nicholas Joseph Ro, who also goes by Nicholas Ro, is a registered financial advisor currently at TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION located in Plano, Texas. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2000. Nicholas has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 2 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
Nicholas Ro
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Videos & Posts
This advisor has not added any videos or posts yet.
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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.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION
Contact Information
Main Address
6565 Headquarters Drive W2-3a-3d, Plano, TX 75024Mailing Address
6565 Headquarters Drive W2-3a-3d, Plano, TX 75024Phone Number
(800) 292-1147Established
Delaware since 01/31/2005Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOYOTA FINANCIAL SERVICES INTERNATIONAL CORPORATION | OWNER | — |
| BETHEL, TELLIS | BOARD OF DIRECTORS | 8218811 |
| BISHOP, STEPHEN JOHN | BOARD OF DIRECTORS | 7481282 |
| COOKE, SCOTT DOUGLAS | CHAIRMAN OF THE BOARD | 7267016 |
| EVANCHO, ANDREA VADAS | CHIEF COMPLIANCE OFFICER | 2393530 |
| RO, NICHOLAS JOSEPH | PRESIDENT & TREASURER | 2285161 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
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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
(1/12/2006)
(1/30/2006)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 2 — Non-Member General Securities Examination
Passed Sep 1992SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas Joseph Ro's CRS (Customer Relationship Summary).
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