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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-05 |
| TX | RA | APPROVED_RES | 2025-09-05 |
Branch Locations
2880 Zanker Road Suite 203, San Jose, CA 95134 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Sunnyvale | CA | 04/2014 | 10/2017 |
| Keypoint Credit Union | Cupertino | CA | 04/2014 | 11/2022 |
| Pfg Advisors | Cupertino | CA | 04/2015 | 11/2022 |
| Securities America, Inc | Cupertino | CA | 10/2017 | 11/2022 |
| Avantax Investment Services Inc. | San Jose | CA | 11/2022 | 09/2025 |
| Avantax Advisory Services | San Jose | CA | 11/2022 | 09/2025 |
| Avantax Insurance Agency, Llc | San Jose | CA | 11/2022 | 12/2022 |
| Avantax Insurance Agency And/Or Avantax Insurance Services | Milpitas | CA | 10/2022 | 09/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) TOY FINANCIAL GROUP POSITION: Financial Advisor NATURE: This is my DBA for Avantax business INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 11/28/2022 ADDRESS: 2280 Zanker Rd Ste 203, San Jose CA 95134; running my business through the DBA Meet with client, find insurance needs and provide options assess financial needs, offer investment products offer insurance products review clients goals and objective?
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-24 |
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