Toby S. Harris

EQ WEALTH ADVISORS

Dallas, TX 75231

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CRD#: 4791779

Professional summary

Toby Scott Harris, CFP®, who also goes by Toby Harris, is a registered financial advisor currently at EQ WEALTH ADVISORS located in Dallas, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Dallas, Texas.

Toby is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Toby has worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Toby Harris

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) EQ Wealth Advisors LLC. Investment Related. At registered location. RIA. Chief Wealth and Partner. 09/2022. Hrs/month 180 all during trading hours. Chief wealth planner and owner. 2) PKS Financial. Investment Related. At registered location. Fixed/Traditional Insurance. Agent. 10/2022. Hrs/month 1 all during trading hours. Sales of fixed/traditional insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Toby Scott Harris'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

November 10, 2022 - Present

EQ WEALTH ADVISORS

Office #1: 10000 North Central Express Way Suite 1350, Dallas, TX 75231

RIA

CRD#: 322294

Dallas, TX

Current

December 20, 2022 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 10000 North Central Expressway Suite 1350, Dallas, TX 75231

CRD#: 35747

Dallas, TX

Past

April 8, 2014 - December 13, 2022

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

DALLAS, TX

Past

April 8, 2014 - December 13, 2022

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

DALLAS, TX

Past

March 18, 2014 - March 19, 2014

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

DALLAS, TX

Past

March 18, 2014 - March 19, 2014

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

DALLAS, TX

Past

July 2, 2012 - April 24, 2014

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

DALLAS, TX

Past

January 21, 2010 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

ALLEN, TX

Past

January 21, 2010 - April 22, 2014

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

ALLEN, TX

Past

July 29, 2005 - January 22, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

DALLAS, TX

Past

July 29, 2005 - January 22, 2010

LPL FINANCIAL LLC

CRD#: 6413

DALLAS, TX

Past

June 29, 2004 - August 9, 2005

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

DALLAS, TX

Past

June 4, 2004 - August 9, 2005

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

EQ WEALTH ADVISORS

EQ WEALTH | EQ WEALTH ADVISORS, LLC | EQ WEALTH ADVISORS LLC | EQ WEALTH ADVISORS

CRD#: 322294 / SEC#: 801-126838

RIA

Registered Investment Advisory firm - (11/7/2022 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.

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

Alabama
(12/21/2022)

California
(3/1/2023)

Colorado
(3/1/2023)

District of Columbia
(3/6/2023)

Florida
(12/21/2022)

Illinois
(3/1/2023)

Montana
(12/21/2022)

Nevada
(12/21/2022)

IAR

Texas
(11/10/2022)

Texas
(12/20/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/28/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EQ WEALTH ADVISORS

EQ WEALTH | EQ WEALTH ADVISORS, LLC | EQ WEALTH ADVISORS LLC | EQ WEALTH ADVISORS

CRD#: 322294 / SEC#: 801-126838

RIA

Registered Investment Advisory firm - (11/7/2022 Approved)

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Contact information

Main Address

10000 North Central Express Way Suite 1350, Dallas, TX 75231

Mailing Address

Phone number

(214) 389-6750

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	863
AUM (Assets Under Management)	$ 558,837,067

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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Advisor Monitoring

Firm Stability Insights

Toby S. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Toby Scott Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

EQ WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/28/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/3/2004

Series 24

Date: 8/12/2008

FINRA

Current Firm

EQ WEALTH ADVISORS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EQ WEALTH ADVISORS

TRUST BUT VERIFY

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