FT
Frances A. Toler
ROSSBY FINANCIAL
SILVER SPRING, MD 20910
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CRD#: 4445222
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Professional summary
Frances Ann Toler, who also goes by Fran Toler, is a registered financial advisor currently at ROSSBY FINANCIAL, LLC located in Silver Spring, Maryland.
Frances is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Frances has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fran Toler
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) TOLER FINANCIAL GROUP, 1010 WAYNE AVE STE 675 SILVER SPRING MD, 3/2001, INDEPENDENT INSURANCE AGENT FOR VARIOUS INSURANCE COMPANIES, NIR, 40 HR/MO 24 HR/MO TRADING 2) TOLER FINANCIAL GROUP LLC, 1010 WAYNE AVE STE 675 SILVER SPRING MD, 04/2018, OWNER, DBA, INV REL, 80 HR/MO 80 HR/MO TRADING 3) ESD PROPERTY HOLDINGS LLC, 6507 59TH AVE RIVERDALE MD, 3/2020, OWNER, REAL ESTATE RENTAL, NIR, 15 HR/MO 3 HR/MO TRADING 4) TOLER FINANCIAL GROUP LLC, 1100 WAYNE AVE STE 670 SILVER SPRINGS MD, 5/2023, OWNER, AUTHOR/SPEAKER, NIR, 10 HR/MO 2 HR/MO TRADING 5) TOLER FINANCIAL GROUP, LLC, 1100 WAYNE AVE STE 670 SILVER SPRINGS MD, DBA FOR ADVISOR SERVICE OFFERED UNDER ROSSBY FINANCIAL, ROSSBY FINANCIAL AND TOLER FINANCIAL GROUP ARE UNAFFILIATED ENTITIES.
CRS (Client Relationship Summary) - RIA
Click below to view Frances Ann Toler'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
August 16, 2024 - Present
ROSSBY FINANCIAL, LLC
Office #1: 1100 Wayne Ave, Ste 670, Silver Spring, MD 20910RIA
CRD#: 324631
SILVER SPRING, MD
Past
November 16, 2015 - August 22, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Silver Spring, MD
Past
November 16, 2015 - August 22, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Silver Spring, MD
Past
July 10, 2012 - November 18, 2015
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
BETHESDA, MD
Past
June 11, 2012 - November 17, 2015
NYLIFE SECURITIES LLC
BD
CRD#: 5167
BETHESDA, MD
Past
March 2, 2004 - June 19, 2012
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
BETHESDA, MD
Past
September 26, 2001 - June 19, 2012
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
BETHESDA, MD
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".
RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS
CRD#: 324631 / SEC#: 801-127370
RIA
Registered Investment Advisory firm - (2/24/2023 Approved)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.Highlighted states indicate IAR registrations
IAR
Maryland(8/16/2024)
IAR
Michigan(8/20/2024)
IAR
Texas(8/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS
CRD#: 324631 / SEC#: 801-127370
RIA
Registered Investment Advisory firm - (2/24/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2412 Irwin Street, Melbourne, FL 32901
Mailing Address
Phone number
(321) 209-0111
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 804 |
| AUM (Assets Under Management) | $ 358,627,117 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
