Andrew S. Toccaceli

W.A. SMITH FINANCIAL GROUP

Sandusky, OH 44870

Some features on this profile are disabled

CRD#: 6250343

Professional summary

Andrew S Toccaceli is a registered financial advisor currently at W.A. SMITH FINANCIAL GROUP located in Sandusky, Ohio.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Andrew has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew S Toccaceli'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

October 9, 2013 - Present

W.A. SMITH FINANCIAL GROUP

Office #1: 4604 Timber Commons Drive, Sandusky, OH 44870

RIA

CRD#: 146608

Sandusky, OH

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".

W.A. SMITH FINANCIAL GROUP

8 ADVISOR | W.A. SMITH FINANCIAL GROUP | GREAT LAKES RETIREMENT, INC.

CRD#: 146608 / SEC#: 801-110042

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Ohio

Registered Investment Advisory firm - (5/2/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(10/9/2013)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/16/2013

Uniform Investment Adviser Law Examination

Current Firm

W.A. SMITH FINANCIAL GROUP

8 ADVISOR | W.A. SMITH FINANCIAL GROUP | GREAT LAKES RETIREMENT, INC.

CRD#: 146608 / SEC#: 801-110042

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Ohio

Registered Investment Advisory firm - (5/2/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2017 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4604 Timber Commons Drive, Sandusky, OH 44870

Mailing Address

Phone number

(419) 626-8600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREAT LAKES RETIREMENT FORM ADV 2 BROCHURE JAN 2024 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	6,582
AUM (Assets Under Management)	$ 962,640,394

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.

Similar Advisors

Russell Moskowitz

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

New York, NY

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Lawrence Leitch

LPL FINANCIAL LLC

IAR

TOWSON, MD

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew S. Toccaceli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew S Toccaceli's CRS (Customer Relationship Summary).

Certified licenses

Experience

W.A. SMITH FINANCIAL GROUP

Primary Firm SEC Registration

W.A. SMITH FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 8/16/2013

Current Firm

W.A. SMITH FINANCIAL GROUP

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

W.A. SMITH FINANCIAL GROUP

TRUST BUT VERIFY

Similar Advisors