Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Toma? Claim Your ProfileToma Kay has been in the financial services industry since 1990 and is currently registered with UBS Financial Services Inc.. Toma has a wealth of experience in the industry, with previous registrations at Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Dean Witter Reynolds Inc., and Wells Fargo Clearing Services, LLC. Toma has licenses in both the Broker-Dealer and Investment Advisor fields. Toma is based in Irvine, California and works with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations.
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.
See schedule d - miscellaneous
1
2
CA
11/18/2020 - Present
UBS Financial Services Inc. (Irvine CA)
CA
05/01/2019 - 11/19/2020
WELLS FARGO CLEARING SERVICES, LLC (NEWPORT BEACH CA)
CA
06/01/2009 - 11/29/2018
MORGAN STANLEY (NEWPORT BEACH CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEWPORT BEACH CA)
CA
06/28/2000 - 04/02/2007
MORGAN STANLEY DW INC. (NEWPORT BEACH CA)
NY
02/13/1990 - 06/26/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/30/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/31/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2002
Series 3 - National Commodity Futures Examination
BC
Issued 03/22/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 02/10/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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