Stephen T. Toshiyuki
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.
Stephen Takeshi Toshiyuki was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1971. Stephen had worked at 16 firms and has passed the Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2004 - January 27, 2005
J.P. TURNER & COMPANY, L.L.C.
March 3, 2003 - October 1, 2004
FIRST MONTAUK SECURITIES CORP.
April 5, 2002 - March 12, 2003
A. G. EDWARDS & SONS, INC.
March 1, 2002 - March 12, 2003
A. G. EDWARDS & SONS, INC.
July 11, 2001 - March 20, 2002
WELLS FARGO INVESTMENTS, LLC
August 18, 1994 - July 11, 2001
WELLS FARGO SECURITIES, LLC
September 4, 1990 - September 16, 1994
WELLS FARGO CLEARING SERVICES, LLC
June 30, 1986 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 6, 1984 - July 9, 1986
CITIGROUP GLOBAL MARKETS INC.
March 5, 1982 - June 7, 1984
MORGAN STANLEY DW INC.
January 31, 1980 - March 22, 1982
UBS FINANCIAL SERVICES INC.
January 4, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 7, 1977 - December 9, 1979
DREXEL BURNHAM LAMBERT INCORPORATED
September 22, 1975 - August 16, 1977
STERN, FRANK, MEYER & FOX, INCORPORATED
June 14, 1974 - September 8, 1975
REYNOLDS SECURITIES, INC.
April 18, 1972 - June 1, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
August 18, 1971 - April 23, 1972
MITCHUM, JONES & TEMPLETON INCORPORATED
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
Series 5
Date: 11/9/1981
Interest Rate Options ExaminationSeries 1
Date: 8/9/1971
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
