Robert J. Toohey
Professional summary
Robert Jerome Toohey was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Robert had worked at 5 firms, which includes CAPITAL PORTFOLIO MANAGEMENT INC., HORNOR TOWNSEND & KENT LLC, CHESAPEAKE SECURITIES RESEARCH CORPORATION, ENERIC FINANCIAL SERVICES INC., LINCOLN FINANCIAL DISTRIBUTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2008 - December 23, 2019
CAPITAL PORTFOLIO MANAGEMENT, INC.
March 28, 2006 - March 12, 2008
HORNOR, TOWNSEND & KENT, LLC
May 6, 2003 - March 2, 2006
CAPITAL PORTFOLIO MANAGEMENT, INC.
August 9, 1989 - May 16, 2003
CHESAPEAKE SECURITIES RESEARCH CORPORATION
March 18, 1986 - February 22, 1991
ENERIC FINANCIAL SERVICES, INC.
July 3, 1978 - April 2, 1986
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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 1
Date: 6/14/1978
Registered Representative ExaminationCurrent Firm
CAPITAL PORTFOLIO MANAGEMENT, INC.
CRD#: 29302 / SEC#: , 8-44225
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DYER, PATRICK VINCENT | PRESIDENT/COMMON STOCK SHAREHOLDER/CONTROL PERSON/CHIEF COMPLIANCE OFFICER | 1668143 |
| BATHURST, GERALD LEE | PREFERRED SHAREHOLDER - NON-VOTING | 4765994 |
| BURGSTINER, VIRGINIA L | PREFERRED SHAREHOLDER | |
| FRIES, LOUIS F. | PREFERRED SHAREHOLDER | 5688603 |
| MIDDLETON, STEVEN WEIHE | PREFERRED SHAREHOLDER | 4367629 |
| TAYLOR, LAVENA RUTH | PREFERRED SHAREHOLDER/NON-VOTING | 2579245 |
| BATHURST, ROSEMARY ANNE | PREFERRED SHAREHOLDER - NON-VOTING | 4765983 |
| EISWERT, MARY K | PREFERRED SHAREHOLDER | |
| MIDDLETON, KRISTIN W | PREFERRED SHAREHOLDER - NON VOTING | 4664838 |
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 15,800,000 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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