Gregory A. Toy

CETERA INVESTMENT ADVISERS LLC

DALLAS, TX 75019

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CRD#: 5552658

Professional summary

Gregory Alan Toy, who also goes by Gregory A Toy, Gregory Alan Toy, Greg Toy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Gregory has worked at 14 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregory A Toy | Gregory Alan Toy | Greg Toy

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) UBER - NOT INVESTMENT RELATED - Uber Technologies Inc. 1455 Market St, San Francisco, CA 94103 -- Transportation/Ride Share services - Uber X/Select Rideshare Driver - Independent Contractor - Part time work/income - Started: December 2015 - Random hours worked over various months <20hrs/week - No hours devoted to the other business (UBER) during security trading hours - I drive people around for money.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Alan Toy'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019

RIA

CRD#: 105644

DALLAS, TX

Current

August 19, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 15340

DALLAS, TX

Current

August 19, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019Office #2: 3200 Olympus Blvd Suite 100, Dallas, TX 75019

CRD#: 13572

DALLAS, TX

Current

August 19, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10358

DALLAS, TX

Current

August 19, 2024 - Present

CETERA ADVISORS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10299

DALLAS, TX

Past

October 25, 2019 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

DALLAS, TX

Past

October 25, 2019 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

February 12, 2019 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

DALLAS, TX

Past

June 7, 2016 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

November 3, 2014 - June 8, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 14, 2012 - August 20, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

September 10, 2010 - December 12, 2011

TD AMERITRADE CLEARING, INC.

CRD#: 5633

FORT WORTH, TX

Past

December 2, 2008 - September 10, 2010

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

September 18, 2008 - October 23, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

PLANO, TX

Past

September 1, 2008 - October 23, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

PLANO, TX

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 9/16/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Gregory A. Toy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Alan Toy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

J.P. MORGAN SECURITIES LLC

FIDELITY BROKERAGE SERVICES LLC

TD AMERITRADE CLEARING, INC.

TD AMERITRADE, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2008

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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