Harold T. Noji
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.
Harold Tetsuo Noji, who also goes by Harold T Noji, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1983. Harold had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - April 13, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
June 6, 1994 - April 12, 2002
WMA SECURITIES, INC.
June 26, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 29, 1991 - June 27, 1992
SECURITIES AMERICA, INC.
August 28, 1990 - October 30, 1991
HORNOR, TOWNSEND & KENT, LLC
January 6, 1990 - August 15, 1990
SENTRA SECURITIES CORPORATION
September 21, 1989 - December 31, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
September 21, 1989 - December 31, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 6, 1987 - June 28, 1988
TRANSAMERICA SECURITIES SALES CORPORATION
January 13, 1986 - June 23, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 14, 1984 - January 22, 1986
FORESTERS FINANCIAL SERVICES, INC.
March 12, 1984 - May 18, 1984
FSC SECURITIES CORPORATION
October 20, 1983 - March 5, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
