Tonya H. Sax
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tonya Hammet Sax, who also goes by Tonya Noel Hammet, Tonya Noel Sax, was a registered financial professional .
Tonya is a previously registered financial professional and started their career in finance in 1998. Tonya had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2025 - February 4, 2025
FISHER INVESTMENTS
March 5, 2020 - December 6, 2023
PNC CAPITAL MARKETS LLC
January 12, 2016 - December 6, 2023
PNC CAPITAL ADVISORS LLC
July 17, 2015 - December 31, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
March 24, 2014 - June 26, 2015
VAN ECK SECURITIES CORPORATION
August 23, 2012 - January 31, 2014
INVESTACORP, INC.
May 16, 2012 - September 5, 2012
KESTRA INVESTMENT SERVICES, LLC
December 8, 2003 - June 4, 2010
INVESCO CAPITAL MARKETS, INC.
October 3, 2000 - December 9, 2003
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 22, 2000 - September 29, 2000
RAYMOND JAMES & ASSOCIATES, INC.
November 11, 1998 - June 7, 2000
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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