Todd P. Osasa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Todd Paul Osasa was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1982. Todd had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2010 - August 6, 2010
AK CAPITAL, LLC
March 25, 1985 - September 30, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 30, 1984 - April 18, 1985
UBS FINANCIAL SERVICES INC.
August 22, 1983 - May 30, 1984
SUTRO & CO. INCORPORATED
September 28, 1982 - September 19, 1983
DAVIS, SKAGGS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AK CAPITAL, LLC
CRD#: 35413 / SEC#: , 8-46787
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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