Frances Toler has been Employee Ownership - Class B Shares of Rossby Financial since December 2024, is not listed as a control person, but directly owns under 5% of the firm.
Rossby Financial, LLC is a Melbourne, FL firm with $855M under management, 3,910 clients and 2 advisers across 19 offices, as of its July 2026 filing.
Frances Toler’s longest registration was 8 years at Cambridge Investment Research Advisors, Inc. (2015–2024). Before joining Rossby Financial in 2024, Frances Toler was registered through Cambridge Investment Research Advisors, Inc. and Eagle Strategies LLC.
- Rossby Financial, LLCCurrent– present · 2 yearsSilver Spring, MD · Adviser representative · Firm CRD 324631
- Cambridge Investment Research Advisors, Inc.– · 8 yearsSilver Spring, MD · Adviser representative · Firm CRD 134139
- Eagle Strategies LLC– · 3 yearsBethesda, MD · Adviser representative · Firm CRD 110826
- Park Avenue Securities LLC– · 8 yearsBethesda, MD · Adviser representative · Firm CRD 46173
Investment adviser representative registrations
Frances Toler is registered as an investment adviser representative in 3 states. Each was approved in August 2024.
- MarylandSince 16 August 2024
- MichiganSince 20 August 2024
- TexasSince 16 August 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 18 August 2003 |
| Series 7 | General Securities Representative Examination | 25 September 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 September 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Frances Ann Toler
- CRD
- 4445222
- Firm
- Rossby Financial · CRD 324631
- Role
- Employee Ownership - Class B Shares
- Office
- 1100 WAYNE AVE SUITE 670, Silver Spring, MD 20910
- Registration
- Investment adviser registration
- In the industry since
- September 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Frances Toler work?
Frances Toler has been Employee Ownership - Class B Shares of Rossby Financial, LLC since December 2024.
Is Frances Toler a financial advisor?
Yes. Frances Toler has a current investment-adviser registration in Maryland, Michigan and Texas, through Rossby Financial since August 2024.
How many years of experience does Frances Toler have?
Frances Toler has 25 years in the financial industry, since September 2001, across 4 adviser firms.
What exams has Frances Toler passed?
Frances Toler has passed 3 licensing exams: the Series 63, Series 7 and Series 65. The earliest, the Series 63, was passed in September 2001. FINRA credited Frances Toler with the SIE, which began in October 2018.
Where did Frances Toler work before Rossby Financial?
Before Rossby Financial, Frances Toler was registered through Eagle Strategies LLC, July 2012 to November 2015; Park Avenue Securities LLC, March 2004 to June 2012.
Where is Frances Toler based?
Frances Toler’s registered office is in Silver Spring, MD.
Is Frances Toler registered with FINRA?
No. Frances Toler has no current broker registration.
How can I verify Frances Toler’s record?
Search CRD 4445222 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Frances Toler’s full registration record.