Robert L. Tokar
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.
Robert Lawrence Tokar was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 5, PC, Series 7, Series 1, Series 10, Series 4, Series 9, Series 24, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2005 - January 12, 2021
JANNEY MONTGOMERY SCOTT LLC
November 4, 2005 - January 12, 2021
JANNEY MONTGOMERY SCOTT LLC
March 27, 2003 - December 6, 2005
ADVEST, INC.
November 28, 1992 - December 6, 2005
ADVEST, INC.
May 23, 1991 - November 24, 1992
GRUNTAL & CO., L.L.C.
April 19, 1988 - April 16, 1991
MORGAN STANLEY DW INC.
August 6, 1981 - February 23, 1988
UBS FINANCIAL SERVICES INC.
October 20, 1980 - February 27, 1990
EQUITABLE ADVISORS, LLC
April 3, 1975 - June 12, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 2, 1973 - March 17, 1975
SHASKAN & CO., INC.
November 20, 1970 - February 22, 1973
FRANK AND DRAKE, INCORPORATED
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/23/1981
Interest Rate Options ExaminationPC
Date: 8/15/1981
AMEX Put and Call ExamSeries 1
Date: 12/15/1958
Registered Representative ExaminationSeries 8
Date: 6/28/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 4/7/1969
General Securities Principal ExaminationCurrent Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
