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Richard Scott Toban

Investment Adviser Representative at REALTA INVESTMENT ADVISORS, INC

Seattle, WACRD #6033185Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
14 yrs
States Registered
7 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 7 states
CaliforniaMarylandMontanaNew JerseyNew YorkTexasWashington
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 9/13/2012
Series 65
Uniform Investment Adviser Law Examination
Passed 2/17/2012
Series 62
Corporate Securities Limited Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/19/2015
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 9/5/2012

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Realta Investment Advisors, Inc Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

REALTA EQUITIES, INC.Current
11/30/2023Seattle, WA
REALTA INVESTMENT ADVISORS, INCCurrent
11/30/2023Seattle, WA
ARETE WEALTH ADVISORS, LLC
3/31/202312/5/2023Seattle, WA
CENTER STREET ADVISORS, INC.
1/2/20156/13/2023Seattle, WA
PRINCOR FINANCIAL SERVICES CORPORATION
11/5/20121/8/2015Seattle, WA
REDHAWK WEALTH ADVISORS, INC.
2/24/201210/4/2012Seattle, WA

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Scott Toban has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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