RT
Richard S. Toban
REALTA INVESTMENT ADVISORS,
Seattle, WA
Some features on this profile are disabled
CRD#: 6033185
RT
Professional summary
Richard Scott Toban, ChFC®, CLU® is a registered financial advisor currently at REALTA INVESTMENT ADVISORS, INC located in Seattle, Washington and REALTA EQUITIES, INC. located in Wilmington, Delaware.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 7 firms and has passed the Series 63, Series 65, Series 62, SIE, Series 7 and Series 6 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.
(1) Ashira Financial LLC dba Preferred Financial Solutions; start date 5/2019; Investment Related; Seattle, WA; Name that all business activities are run through; www.ashirafinancial.com; commissions and/or fees; 20-60 hours per week during normal trading hours. (2) Insurance Agent; various companies; Life, DI, LTC, Annuities, Health Insurance (Group, Ind/Fam, Medicare), Group, Worksite & Ind/Fam benefits; evaluate the needs of clients and help them get insurance coverage suited for them; commissions; 20-60 hours per week during normal trading hours. (3) Rabbi Educator; start 10/200; teaching, counselling, and guidance; No compensation, but it is possible; 0-10 hours per month some during normal trading hours (4) Specialized Tax Credits and Cost Mitigation; Not investment related; prequalify/refer specialized tax including cost segregation; R&D Tax credits, ERtC Tax Credits; prequalification and solicitor; fees; 0-4 hours per month during normal trading hours. (5) Real Estate license; Not Investment Related; Bellevue, WA; Real Estate - commercial, construction, architectural design and asset management; www.madisonbaycre.com; consulting and networking; potential compensation; 0-3 hours per month some during normal trading hours. (6) REALTA INVESTMENT ADVISORS, INC.; WILMINGTON, DE; INVESTMENT ADVISORY SERVICES, INVESTMENT ADVISOR REPRESENTATIVE; WWW.REALTAWEALTH.COM; COMPENSATION IN THE FOR OF FEES; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS. (7) Rental; start: 1/2025; Not Investment Related; Renting Room in Residence; Landlord; Compensation: Rental Payments; 0-1 hours per week none during normal trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Scott Toban'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®
Experience
Current
November 30, 2023 - Present
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
Seattle, WA
Current
November 30, 2023 - Present
REALTA EQUITIES, INC.
Office #1: 1201 N. Orange Street Suite 729, Wilmington, DE 19801BD
CRD#: 23769
WILMINGTON, DE
Past
March 31, 2023 - December 5, 2023
ARETE WEALTH ADVISORS, LLC
RIA
CRD#: 145488
Seattle, WA
Past
January 2, 2015 - June 13, 2023
CENTER STREET ADVISORS, INC.
RIA
CRD#: 169329
SEATTLE, WA
Past
January 2, 2015 - December 1, 2023
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
SEATTLE, WA
Past
November 5, 2012 - January 8, 2015
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
SEATTLE, WA
Past
September 6, 2012 - January 8, 2015
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SEATTLE, WA
Past
February 24, 2012 - October 4, 2012
REDHAWK WEALTH ADVISORS, INC.
RIA
CRD#: 146616
SEATTLE, WA
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".
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)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.RR
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
RR
California(11/30/2023)
RR
Maryland(11/30/2023)
RR
Montana(11/30/2023)
RR
New Jersey(11/30/2023)
RR
New York(11/30/2023)
RR
Texas(11/30/2023)
IAR
Texas(11/30/2023)
RR
Washington(11/30/2023)
IAR
Washington(11/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
Phone number
(888) 657-5200
Established
Firm type
Fiscal year end
# of Employees
64
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,958 |
| AUM (Assets Under Management) | $ 343,465,487 |
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.
