Cindy B. Toshie

IBN ASSET MANAGEMENT

Winter Springs, FL

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CRD#: 4397969

Professional summary

Cindy Ball Toshie, who also goes by Cindy Ann Ball, is a registered financial advisor currently at IBN ASSET MANAGEMENT, LLC located in Winter Springs, Florida and INSTITUTIONAL BOND NETWORK, LLC located in Thousand Oaks, California.

Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Cindy has worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cindy Ann Ball

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.

1) OUR BACKYARD FOUNDATION-NOT INVESTMENT RELATED- MEMBER BOARD OF DIRECTORS-405 S MOSS RD, WINTER SPRINGS FL 32708- NATURE OF BUSINESS, SUPPORTS LOCAL CHARITABLE CAUSES-START DATE 02/28/2012- APPX 10-15 HOURS, 0 HOURS DURING TRADING HOURS- DESCRIPTION , ORGANIZE FUNDRAISING EVENTS TO BENEFIT INDIVIDUALS AND FAMILIES WITHIN THE COMMUNITY. 2) ARBITRAGE MANAGEMENT GROUP; INVESTMENT RELATED; 405 S MOSS RD, WINTER SPRINGS, FL 32708; INVESTMENT OF BOND PROCEEDS; ADMINISTRATIVE ASSISTANT; 08/2005; LESS THAN 5 HOURS/MONTH AND DURING SEC TRADING HOURS; ADMINISTRATIVE. 3) Institutional Bond Network; Investment-Related; Winter Springs, FL; Broker Dealer; Sales Assistant; 9/2020; 120+ hrs/mo; 120+ hrs/mo during securities trading hours; Duties are registered representative capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Ball Toshie'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®

None

Experience

Current

November 1, 2022 - Present

IBN ASSET MANAGEMENT, LLC

RIA

CRD#: 290114

Winter Springs, FL

Current

October 6, 2020 - Present

INSTITUTIONAL BOND NETWORK, LLC

Office #1: 463 Pennsfield Pl Suite 201, Thousand Oaks, CA 91360

CRD#: 187515

Thousand Oaks, CA

Past

February 1, 2016 - October 1, 2020

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

Winter Springs, FL

Past

January 25, 2016 - October 1, 2020

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

Winter Springs, FL

Past

August 8, 2005 - January 26, 2016

STONEX SECURITIES INC.

CRD#: 18456

OVIEDO, FL

Past

March 14, 2005 - January 26, 2016

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

October 29, 2004 - August 8, 2005

STERNE, AGEE & LEACH, INC.

RIA

CRD#: 791

OVIEDA, FL

Past

October 28, 2004 - August 8, 2005

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

December 20, 2001 - October 27, 2004

RYAN BECK & CO.

RIA

CRD#: 3248

OVIEDO, FL

Past

October 31, 2001 - October 27, 2004

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

July 17, 2001 - October 24, 2001

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

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".

IBN ASSET MANAGEMENT, LLC

CRD#: 290114 / SEC#: 801-118749

RIA

Registered Investment Advisory firm - (5/18/2020 Approved)

California

Registered Investment Advisory firm - (4/21/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

California
(11/1/2022)

Florida
(2/26/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/3/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

IBN ASSET MANAGEMENT, LLC

CRD#: 290114 / SEC#: 801-118749

RIA

Registered Investment Advisory firm - (5/18/2020 Approved)

California

Registered Investment Advisory firm - (4/21/2021 Terminated)

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Contact information

Main Address

463 Pennsfield Place Suite 201, Thousand Oaks, CA 91360

Mailing Address

Phone number

(805) 277-4738

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

IBN ASSET MANAGEMENT 2025 ANNUAL AMENDED ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 485,424,509

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.

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Firm Stability Insights

Cindy B. Toshie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Ball Toshie's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTIONAL BOND NETWORK, LLC

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

STONEX SECURITIES INC.

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

STERNE, AGEE & LEACH, INC.

RYAN BECK & CO.

RYAN BECK & CO.

JOSEPHTHAL & CO., INC.

Primary Firm SEC Registration

IBN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/16/2001

Series 24

Date: 2/26/2002

FINRA

Current Firm

IBN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IBN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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