Steven M. Toomey

STEVEN TOOMEY ENTERPRISES

RICHMOND, CA

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CRD#: 4539545

Professional summary

Steven M Toomey is a registered financial advisor currently at STEVEN TOOMEY ENTERPRISES located in Richmond, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Steven has worked at 5 firms and has passed the Series 65, Series 63, Series 66, Series 87, Series 86, Series 7 and Series 31 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.

Business Name: Snout, Inc. It is not investment related Address: 129 S Kings Rd, Apt 301, Los Angeles, CA 90048 Nature of the Business: Wellness payment plans for customers of veterinarian clinics My title: CFO Start Date: Aug 2024 Work hours: full time Hours devoted to other business during securities trading hours: 0 Duties: accounting, payroll, forecasting, cash flow management, data analysis, strategy

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven M Toomey'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

April 22, 2025 - Present

STEVEN TOOMEY ENTERPRISES

RIA

CRD#: 332974

RICHMOND, CA

Past

January 10, 2011 - March 30, 2012

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 1, 2006 - May 17, 2006

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

MORAGA, CA

Past

May 1, 2006 - May 17, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

MORAGA, CA

Past

April 6, 2004 - February 10, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

ROCKVILLE, MD

Past

April 6, 2004 - February 10, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

October 17, 2002 - February 27, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WASHINGTON, DC

Past

July 31, 2002 - February 27, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

California
(4/22/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/17/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/5/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 87

Date: 9/2/2011

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 7/1/2011

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 1/7/2011

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 8/12/2002

Futures Managed Funds Examination

Current Firm

STEVEN TOOMEY ENTERPRISES

STEVEN TOOMEY ENTERPRISES | STEVEN TOOMEY ENTERPRISES, LLC

CRD#: 332974 / SEC#:

California

Registered Investment Advisory firm - (4/22/2025 Approved)

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Contact information

Main Address

Richmond, CA

Mailing Address

Phone number

(415) 230-0236

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Steven M. Toomey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven M Toomey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/17/2024

Series 63

Date: 1/21/2011

Series 66

Date: 9/5/2002

Series 87

Date: 9/2/2011

Series 86

Date: 7/1/2011

Series 7

Date: 1/7/2011

Series 31

Date: 8/12/2002

Current Firm

STEVEN TOOMEY ENTERPRISES

Contact information

Documents

Red Flags

Company Information

STEVEN TOOMEY ENTERPRISES

TRUST BUT VERIFY

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