JT
Juan E. Toledano
G.W. SHERWOLD ASSOCIATES,
Lake Forest, CA 92630
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CRD#: 4133113
JT
Professional summary
Juan Emiliano Toledano is a registered financial advisor currently at G.W. SHERWOLD ASSOCIATES, INC located in Lake Forest, California.
Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Juan has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
I AM A SELF-EMPLOYED NOTARY PUBLIC. THIS BUSINESS IS NOT INVESTMENT RELATED. I PROVIDE NOTARIAL SERVICES. I PRACTICE THIS ACTIVITY APPROXIMATELY 10 HOURS PER MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Juan Emiliano Toledano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Juan Emiliano Toledano'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
January 31, 2017 - Present
G.W. SHERWOLD ASSOCIATES, INC
Office #1: 22994 El Toro Road, Lake Forest, CA 92630Office #2: 22994 El Toro Rd, Lake Forest, CA 92630RIA
BD
CRD#: 42186
Lake Forest, CA
Current
April 4, 2000 - Present
G.W. SHERWOLD ASSOCIATES, INC
Office #1: 22994 El Toro Road, Lake Forest, CA 92630Office #2: 22994 El Toro Road, Lake Forest, CA 92630RIA
BD
CRD#: 42186
Lake Forest, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
G.W. SHERWOLD ASSOCIATES, INC
G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.
CRD#: 42186 / SEC#: 801-118949, 8-49740
RIA
Registered Investment Advisory firm - SEC (6/19/2020 Approved)California
Registered Investment Advisory firm - SEC (7/19/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (6/19/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(5/5/2000)
IAR
California(1/31/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
G.W. SHERWOLD ASSOCIATES, INC
G.W. SHERWOLD ASSOCIATES, INC | SHERWOLD G W ASSOCIATES INC | G.W. SHERWOLD ASSOCIATES, INC.
CRD#: 42186 / SEC#: 801-118949, 8-49740
RIA
Registered Investment Advisory firm - SEC (6/19/2020 Approved)California
Registered Investment Advisory firm - SEC (7/19/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (6/19/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
22994 El Toro Road, Lake Forest, CA 92630
Mailing Address
22994 El Toro Road, Lake Forest, CA 92630
Phone number
(949) 470-0700
Established
California since 04/14/1994
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees
3
SEC notice filing (3 States and Territories)
FINRA licenses (10 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHERWOLD, GARY WILLIAM | PRESIDENT & CHIEF COMPLIANCE OFFICER | 1353782 |
Regulatory assets under management
| Total Number of Accounts | 689 |
| AUM (Assets Under Management) | $ 455,358,654 |
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.
