Toan Ta (CRD# 6336916) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Lafayette, CA and has 1 year of experience in the finance industry.
CRD# 6424586
Global Retirement Partners LLC
CRD# 2055289
Powering Your Retirement
CRD# 5567930
Avantax Advisory Services
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Moraga, CA | Jun 2015 - Current | 8 |
| Bank Of America N.a. | Moraga, CA | Jun 2015 - Current | 8 |
| Us Bank | Fremont, CA | Feb 2015 - May 2015 | < 1 |
| Unemployed | Moraga, CA | Dec 2014 - Feb 2015 | < 1 |
| Wells Fargo Advisors LLC | San Jose, CA | Aug 2014 - Nov 2014 | < 1 |
| Wells Fargo Bank Na | San Jose, CA | Nov 2009 - Nov 2014 | 5 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Jun 2023 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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