Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Toby? Claim Your ProfileToby Ronald Cortez is a financial professional with over 20 years of experience in the financial services industry. Toby has worked for several reputable firms, including Stephens and Sisung Securities Corporation, gaining a comprehensive understanding of various financial markets and products. Currently, Toby is associated with Stifel, Nicolaus & Company, Inc. and focuses on providing personalized financial advice to individuals, businesses, and institutions. Toby possesses a wide range of knowledge and expertise in securities, investments, and wealth management, and is dedicated to helping clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
LA
03/25/2015 - Present
Stifel, Nicolaus & Company, Inc. (Baton Rouge LA)
LA
04/19/2012 - 03/17/2015
STEPHENS (BATON ROUGE LA)
LA
07/20/1998 - 04/05/2012
SISUNG SECURITIES CORPORATION (NEW ORLEANS LA)
BC
Issued 07/31/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 07/08/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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