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DT

David I. Toy

TOURMALINE PARTNERS
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 7360669
DT

Professional summary

David Ian Toy is a registered financial professional currently at TOURMALINE PARTNERS, LLC located in Stamford, Connecticut.

David is registered as a RR (Registered Representative) and started their career in finance in 2021. David has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view David Ian Toy'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®
None

Experience

Current

May 4, 2021 - Present

TOURMALINE PARTNERS, LLC

Office #1: 680 Washington Blvd. 10th Floor, Stamford, CT 06901Office #2: 35 Lime Street Suite 502, King Street Wharf, Sydney Nsw 2000
BD
CRD#: 154492
Stamford, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Connecticut
(5/19/2021)
RR
New York
(5/19/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/18/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/4/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/29/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TP
TOURMALINE PARTNERS, LLC
TOURMALINE PARTNERS, LLC

CRD#: 154492 / SEC#: , 8-68644

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
680 Washington Blvd. 10th Floor, Stamford, CT 06901
Mailing Address
680 Washington Blvd. 10th Floor, Stamford, CT 06901
Phone number
(203) 302-7300
Established
Connecticut since 06/17/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TOUR INTERMEDIATE 2, LLCSOLE MEMBER
CONWAY, JAMES ROBERTCFO, FINOP4368039
DISPIGNA, DANIEL NMNCOO2902260
HANTMAN, AARON SAMUELCEO3020334
OLENCKI, JAMES LOUIS MR.CHIEF COMPLIANCE OFFICER5602387

Disclosures

Regulatory Event3

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.

Company Information

TOURMALINE PARTNERS, LLC

CRD#: 154492Stamford, CT 06901

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