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Michael Toy is a registered investment advisor, based in San Jose, CA, with 25 years of industry experience.
Location
2880 Zanker Road, Suite 203, San Jose, CA, 95134
Get directionsHistory
Regulatory History (2)
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Customer Dispute
January 2017Settled
Customer Dispute
January 2014Settled
Other Business ActivitiesSells Insurance
Michael operates his financial advisory business through TOY Financial Group. He also sells equity index annuities and insurance products through Avantax Insurance Agency/Services, dedicating a few hours per week to each.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
September 2025 - Present · 8 mos
Cetera Investment Advisers LLC
September 2025 - Present · 8 mos
Previous Registrations
Avantax Advisory Services
November 2022 - September 2025 · 2 yrs 10 mos
Avantax Investment Services, INC.Broker
November 2022 - September 2025 · 2 yrs 10 mos
Securities America, INC.Broker
October 2017 - December 2022 · 5 yrs 2 mos
Pfg Advisors
April 2015 - November 2022 · 7 yrs 7 mos
LPL Financial LLC
May 2014 - October 2017 · 3 yrs 5 mos
LPL Financial LLCBroker
April 2014 - October 2017 · 3 yrs 6 mos
Ameriprise Financial Services, INC.Broker
October 2009 - May 2014 · 4 yrs 7 mos
Ameriprise Financial Services, INC.
October 2009 - May 2014 · 4 yrs 7 mos
Ameriprise Advisor Services, INC.
October 2007 - October 2009 · 2 yrs
Ameriprise Advisor Services, INC.Broker
July 2002 - October 2009 · 7 yrs 3 mos
Salomon Smith Barney INC.Broker
February 2001 - June 2002 · 1 yr 4 mos
Franklin/templeton Distributors, INC.Broker
March 2000 - October 2000 · 7 mos
State Registrations4 states
AZCAFLTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.