Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Toby? Claim Your ProfileToby Klein has been in the financial services industry since October 2007. Toby is currently registered with CCO Capital, LLC in Arizona and California. Toby is also a Registered Principal with CCO Capital, LLC, and has passed the Series 4, Series 53, and Series 24 exams. Toby has held previous roles with Edward Jones, Woodbury Financial Services, Inc., FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., American General Securities Incorporated, Chase Investment Services Corp., Charles Schwab & Co., Inc., and Intersecurities, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
AZ
06/07/2019 - Present
CCO Capital, LLC (PHOENIX AZ)
AZ
04/10/2018 - 11/07/2018
EDWARD JONES (TEMPE AZ)
MN
06/19/2014 - 11/15/2016
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
GA
05/17/2011 - 11/15/2016
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
05/17/2011 - 11/15/2016
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
AZ
01/08/2007 - 11/15/2016
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
AZ
12/20/2007 - 10/29/2008
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
AZ
08/04/2006 - 12/18/2006
CHASE INVESTMENT SERVICES CORP. (PHOENIX AZ)
AZ
12/14/2005 - 07/18/2006
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
FL
07/18/2005 - 10/05/2005
INTERSECURITIES, INC. (ST. PETERSBURG FL)
BOTH
Issued 10/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/01/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/13/2008
Series 4 - Registered Options Principal Examination
BC
Issued 08/13/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/30/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2005
Series 7 - General Securities Representative Examination
BC
Issued 07/15/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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