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PT

Phillip E. Toth

FINALIS SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 4454295
PT

Professional summary

Phillip Edward Toth, who also goes by Philip Edward Toth, Phillip Toth, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2001. Phillip has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Philip Edward Toth | Phillip Toth

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 Phillip Edward Toth'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

May 31, 2023 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003
BD
CRD#: 305908
New York, NY
Past

May 22, 2020 - May 30, 2023

INVICTA CAPITAL LLC

BD
CRD#: 288101
OAKMONT, PA
Past

September 22, 2015 - August 5, 2018

OBERON SECURITIES, LLC

BD
CRD#: 132598
NEW YORK, NY
Past

February 18, 2014 - September 23, 2015

BONWICK CAPITAL PARTNERS, LLC

BD
CRD#: 156469
NEW YORK, NY
Past

April 26, 2013 - February 18, 2014

NATALLIANCE SECURITIES, LLC

BD
CRD#: 39455
NEW YORK, NY
Past

April 20, 2011 - April 3, 2012

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
NEW YORK, NY
Past

October 12, 2010 - April 18, 2011

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
NEW YORK, NY
Past

September 30, 2009 - October 12, 2010

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
NEW YORK, NY
Past

January 30, 2008 - July 20, 2009

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

March 14, 2005 - January 8, 2008

FINANCIAL NORTHEASTERN SECURITIES, INC.

BD
CRD#: 17007
FAIRFIELD, NJ
Past

October 2, 2001 - March 10, 2005

MULTI-BANK SECURITIES, INC.

BD
CRD#: 22098
SOUTHFIELD, MI

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
Florida
(11/8/2023)
RR
Idaho
(10/4/2023)
RR
Illinois
(10/9/2023)
RR
Maryland
(8/13/2024)
RR
New Jersey
(5/31/2023)
RR
New York
(5/31/2023)
RR
Pennsylvania
(11/2/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/5/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

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

Main Address
228 Park Ave South Suite 85550, New York, NY 10003
Mailing Address
228 Park Ave South Suite 85550, New York, NY 10003
Phone number
(800) 962-0418
Established
Delaware since 09/10/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
FINALIS, INC.HOLDING COMPANY
AZARY, DENNIS MICHAELCEO/CCO/FINOP2384263

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

FINALIS SECURITIES LLC

CRD#: 305908New York, NY 10003

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