Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JAMES IAN TOTH
JAMES I TOTH, JIM TOTH
CRD#: 5499206
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 724 W LANCASTER AVE
WAYNE, PA 19087
WAYNE, PA 19087
0
Disclosures
15
Years of Experience
View By:
State Registrations
B
Alabama 12/19/2022
B
Montana 2/7/2022
B
Arizona 2/2/2017
B
Nevada 2/2/2017
B
Arkansas 11/2/2021
B
New Hampshire 2/2/2017
B
California 2/2/2017
B
New Jersey 11/4/2015
B
Colorado 2/2/2017
B
New York 2/2/2017
B
Connecticut 2/2/2017
B
North Carolina 2/2/2017
B
Delaware 11/4/2015
B
Ohio 2/2/2017
B
District of Columbia 2/2/2017
B
Oregon 2/2/2017
B
Florida 2/2/2017
IA
Pennsylvania 10/2/2015
B
Georgia 2/2/2017
B
Pennsylvania 11/3/2015
B
Hawaii 2/2/2017
B
Rhode Island 2/2/2017
B
Idaho 11/10/2023
B
South Carolina 2/2/2017
B
Illinois 2/2/2017
B
South Dakota 7/26/2022
B
Iowa 1/22/2025
B
Tennessee 2/2/2017
B
Kansas 2/12/2020
B
Texas 2/2/2017
B
Kentucky 1/22/2025
IA
Texas 2/13/2017
B
Maine 2/2/2017
B
Utah 2/2/2017
B
Maryland 2/2/2017
B
Vermont 2/2/2017
IA
Maryland 11/13/2017
B
Virginia 2/2/2017
B
Massachusetts 2/2/2017
B
Washington 2/2/2017
B
Michigan 2/2/2017
B
West Virginia 12/19/2022
B
Minnesota 1/5/2022
B
Wisconsin 1/22/2024
B
Missouri 2/2/2017
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/2/2015
B
Registered with this firm since 10/28/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/22/2014 - 09/24/2015 | PHILADELPHIA, PA | |
IA | 05/21/2008 - 04/22/2013 | PENNINGTON, NJ | |
B | 04/08/2008 - 04/22/2013 | NEW YORK, NY |
PENNINGTON, NJ
05/21/2008 - 04/22/2013
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.