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JT

James S. Toler

LENOX FINANCIAL SERVICES
DOWNERS GROVE, IL
Some features on this profile are disabled
CRD#: 2331701
JT

Professional summary

James Scott Toler is a registered financial professional currently at LENOX FINANCIAL SERVICES, INC. located in Downers Grove, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Scott Toler's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 17, 2009 - Present

LENOX FINANCIAL SERVICES, INC.

BD
CRD#: 36379
DOWNERS GROVE, IL
Past

May 21, 2008 - August 17, 2009

WATERSTONE FINANCIAL GROUP, INC.

BD
CRD#: 10078
BOSTON, MA
Past

January 3, 2005 - May 20, 2008

CAPITAL SECURITIES INVESTMENT CORPORATION

BD
CRD#: 5606
DOWNERS GROVE, IL
Past

April 26, 2002 - December 31, 2004

WOLF FINANCIAL MANAGEMENT, LLC

BD
CRD#: 44225
OAKBROOK TERRACE, IL
Past

February 24, 1995 - April 26, 2002

BROOKLIGHT PLACE SECURITIES, INC.

BD
CRD#: 15764
FOUNTAIN HILLS, AZ
Past

April 5, 1993 - February 24, 1995

OGILVIE SECURITY ADVISORS CORPORATION

BD
CRD#: 10105
CHICAGO, IL

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
Illinois
(8/17/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/2/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LF
LENOX FINANCIAL SERVICES, INC.
LENOX FINANCIAL SERVICES, INC. | LENOX FINANCIAL SERVICES,INCORPORATED

CRD#: 36379 / SEC#: , 8-47204

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
322 Alana Drive, New Lenox, IL 60451
Mailing Address
322 Alana Drive, New Lenox, IL 60451
Phone number
(815) 485-5559
Established
Illinois since 03/28/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RUTH, DOUGLAS SCOTTCHIEF COMPLIANCE OFFICER1381205
RUTH, DOUGLAS SCOTTOWNER, PRESIDENT1381205

Disclosures

Regulatory Event2

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

LENOX FINANCIAL SERVICES, INC.

CRD#: 36379Downers Grove, IL

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