John G. Toland
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.
John Gerard Toland, who also goes by John Toland, Jt Toland, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 18 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2020 - November 10, 2021
BTIG, LLC
June 4, 2019 - June 23, 2020
MIZUHO SECURITIES USA LLC
June 2, 2014 - May 7, 2019
NOMURA SECURITIES INTERNATIONAL, INC.
June 30, 2009 - May 8, 2014
UBS SECURITIES LLC
May 1, 2009 - June 8, 2009
CANTOR FITZGERALD & CO.
April 5, 2005 - April 17, 2009
NATWEST MARKETS SECURITIES INC.
January 27, 2004 - April 4, 2005
LAZARD FRERES & CO. LLC
March 14, 2000 - January 27, 2004
RBC CAPITAL MARKETS CORPORATION
October 1, 1998 - March 6, 2000
BANC OF AMERICA SECURITIES LLC
April 2, 1998 - October 1, 1998
BANCAMERICA SECURITIES, INC.
October 17, 1995 - March 17, 1998
PRUDENTIAL EQUITY GROUP, LLC
March 30, 1994 - November 2, 1995
UBS SECURITIES LLC
January 26, 1993 - April 18, 1994
UBS FINANCIAL SERVICES INC.
March 8, 1991 - May 7, 1992
S.N. PHELPS & CO.
September 13, 1989 - December 14, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 1987 - August 15, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
December 19, 1984 - April 10, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 1983 - January 10, 1985
BECKER PARIBAS INCORPORATED
October 26, 1982 - March 17, 1983
MORGAN STANLEY DW INC.
March 23, 1981 - June 24, 1982
FINANCIAL SQUARE PARTNERS
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: 10/18/2023
General Securities Representative ExaminationSeries 57TO
Date: 10/18/2023
Securities Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
