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Toby N. Prosky

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CRD#: 4668849
TP

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.

Toby Nathaniel Prosky was a registered financial professional .

Toby is a previously registered financial professional and started their career in finance in 2003. Toby had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 15, 2015 - May 3, 2016

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

February 13, 2015 - October 19, 2015

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
PORT JEFFERSON, NY
Past

January 7, 2015 - October 19, 2015

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
PORT JEFFERSON, NY
Past

September 23, 2010 - April 5, 2011

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

February 5, 2008 - September 22, 2010

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

April 20, 2005 - June 6, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

April 20, 2005 - June 6, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC
Past

July 28, 2003 - April 27, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CHARLOTTE, NC
Past

July 10, 2003 - April 27, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 10, 2003 - April 27, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/13/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/3/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 5/27/2005
Futures Managed Funds Examination

Current Firm

GC
GROWTH CAPITAL SERVICES, INC.
AQUILLIAN INVESTMENTS, INC. | PROGRESSIVETRADE SECURITIES, INC. | GROWTH CAPITAL SERVICES, INC. | GROWTH CAPITAL SERVICES

CRD#: 124658 / SEC#: , 8-65705

BD
Cancelled by SEC on 08/12/2022
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Contact information

Main Address
582 Market St Suite 300, San Francisco, CA 94104
Mailing Address
Phone number
(415) 692-0050
Established
Delaware since 10/11/2021
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
12

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
DUNN, BRIANCEO4574012
AZARY, DENNIS MICHAELCCO2384263

Disclosures

Regulatory Event3
Financial1

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

GROWTH CAPITAL SERVICES, INC.

CRD#: 124658

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