Jerome B. Toigo
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.
Jerome Bryce Toigo SR, who also goes by Jerome B Tiogo, Jerome B Toigo, Jerome Bryce Toigo, Jerome Toigo, Jerry B Toigo, Jerry Bryce Toigo, Jerry Toigo, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1992. Jerome had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2015 - November 24, 2015
J.P. MORGAN SECURITIES LLC
July 24, 2012 - October 8, 2014
COUNTRY CAPITAL MANAGEMENT COMPANY
September 29, 2010 - July 19, 2012
VALIC FINANCIAL ADVISORS, INC.
September 27, 2010 - July 19, 2012
VALIC FINANCIAL ADVISORS, INC.
August 31, 2004 - February 23, 2010
CETERA INVESTMENT ADVISERS LLC
April 6, 2004 - February 23, 2010
CETERA FINANCIAL SPECIALISTS LLC
February 20, 2001 - October 25, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
October 13, 2000 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
August 11, 1996 - October 12, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 6, 1995 - October 23, 1996
WINTRUST INVESTMENTS LLC
October 16, 1992 - December 1, 1995
IDS LIFE INSURANCE COMPANY
October 16, 1992 - December 1, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
