NR
Nicholas J. Ro
TOYOTA FINANCIAL SERVICES SECURITIES USA
Plano, TX 75024
Some features on this profile are disabled
CRD#: 2285161
NR
Professional summary
Nicholas Joseph Ro, who also goes by Nicholas Ro, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Ro
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Joseph Ro's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 10, 2005 - Present
TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION
Office #1: 6565 Headquarters Drive W2-3a-3d, Plano, TX 75024BD
CRD#: 135978
Plano, TX
Past
March 25, 2003 - June 15, 2004
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
NEW YORK, NY
Past
January 26, 2001 - September 18, 2002
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
October 6, 2000 - January 26, 2001
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/12/2006)
RR
Alaska(1/30/2006)
RR
Arizona(2/17/2006)
RR
Arkansas(3/20/2006)
RR
California(11/15/2005)
RR
Colorado(1/9/2006)
RR
Connecticut(2/7/2006)
RR
Delaware(3/3/2006)
RR
District of Columbia(5/2/2006)
RR
Florida(4/3/2006)
RR
Georgia(2/16/2006)
RR
Hawaii(6/1/2006)
RR
Idaho(1/4/2006)
RR
Illinois(3/15/2006)
RR
Indiana(2/21/2006)
RR
Iowa(2/9/2006)
RR
Kansas(3/1/2006)
RR
Kentucky(1/9/2006)
RR
Louisiana(2/22/2006)
RR
Maine(3/22/2006)
RR
Maryland(1/26/2006)
RR
Massachusetts(1/30/2006)
RR
Michigan(2/22/2006)
RR
Minnesota(1/4/2006)
RR
Mississippi(1/9/2006)
RR
Missouri(2/28/2006)
RR
Montana(2/1/2006)
RR
Nebraska(2/2/2006)
RR
Nevada(1/19/2006)
RR
New Hampshire(3/14/2006)
RR
New Jersey(3/20/2006)
RR
New Mexico(1/31/2006)
RR
New York(1/31/2006)
RR
North Carolina(1/10/2006)
RR
North Dakota(2/13/2006)
RR
Ohio(2/13/2006)
RR
Oklahoma(1/6/2006)
RR
Oregon(2/7/2006)
RR
Pennsylvania(1/20/2006)
RR
Puerto Rico(2/10/2006)
RR
Rhode Island(1/30/2006)
RR
South Carolina(2/13/2006)
RR
South Dakota(1/5/2006)
RR
Tennessee(7/28/2006)
RR
Texas(3/10/2006)
RR
Utah(1/6/2006)
RR
Vermont(3/22/2006)
RR
Virginia(1/13/2006)
RR
Washington(1/3/2006)
RR
West Virginia(1/4/2006)
RR
Wisconsin(2/7/2006)
RR
Wyoming(1/31/2006)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 9/23/1992
Non-Member General Securities ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION
TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION
CRD#: 135978 / SEC#: , 8-66961
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
6565 Headquarters Drive W2-3a-3d, Plano, TX 75024
Mailing Address
6565 Headquarters Drive W2-3a-3d, Plano, TX 75024
Phone number
(800) 292-1147
Established
Delaware since 01/31/2005
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOYOTA FINANCIAL SERVICES INTERNATIONAL CORPORATION | OWNER | |
| ABRAMCZYK, JANE E | CHIEF COMPLIANCE OFFICER | 4801666 |
| BISHOP, STEPHEN JOHN | BOARD OF DIRECTORS | 7481282 |
| COOKE, SCOTT DOUGLAS | CHAIRMAN OF THE BOARD | 7267016 |
| RO, NICHOLAS JOSEPH | PRESIDENT & TREASURER | 2285161 |
| SCHOFIELD, JAMES | BOARD OF DIRECTORS | 7481204 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
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.
Company Information
TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION
CRD#: 135978Plano, TX 75024TRUST BUT VERIFY
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